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NYSE Rulemaking Archive: 2015
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 2015
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Release No. |
Date |
Details |
Fourth Quarter |
SR-NYSE-2015-02 |
34-76814 |
Dec. 31, 2015 |
Notice of Filing of Amendment Nos. 1 and 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Amending Sections 312.03(b) and 312.04 of the NYSE Listed Company Manual to Exempt Early Stage Companies From Having to Obtain Shareholder Approval Before Issuing Shares for Cash to Related Parties, Affiliates of Related Parties or Entities In Which A Related Party Has A Substantial Interes
Comments due: January 28, 2016
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-74849, Notice: Rel. No. 34-76599, Notice: Rel. No. 34-75599, Notice: Rel. No. 34-76323
|
SR-NYSE-2015-67 |
34-76803 |
Dec. 30, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting New Rules to Reflect the Implementation of Pillar, the Exchange’s New Trading Technology Platform
Comments due: January 27, 2016
Additional Materials: Exhibit 5
|
SR-NYSE-2015-66 |
34-76789 |
Dec. 29, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List to Modify Certain Fees for Executions at the Close
Comments due: January 26, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-NYSE-2015-52 |
34-76748 |
Dec. 23, 2015 |
Order Approving Proposed Rule Change to the Co-location Services Offered by the Exchange (the Offering of a Wireless Connection to Allow Users to Receive Market Data Feeds from Third Party Markets) and to Reflect Changes to the Exchange’s Price List Related to These Service
See also: Notice: Rel. No. 34-76374
|
SR-NYSE-2015-48 |
34-76666 |
Dec. 16, 2015 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Deleting Rule 410B Governing Reporting Requirements for Off-Exchange Transactions
See also: Order: Rel No. 34-76983, Notice: Rel. No. 34-76277
|
SR-NYSE-2015-60 |
34-76649 |
Dec. 15, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 13 to Eliminate Good til Cancelled ("GTC") Orders and Stop Orders, and Make Conforming Changes to Rules 49, 61, 70, 104, 109, 115A, 116, 118, 123, 123A, 123C, 123D, 1000, 1004 and 6140
Comments due: January 11, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-NYSE-2015-53 |
34-76612 |
Dec. 10, 2015 |
Notice of Filing of Proposed Rule Change to Its Rules to Provide that the Co-location Services Offered By the Exchange Include Three Time Feeds and Four Bundles of Co-location Services December 10, 2015
Comments due: January 6, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-NYSE-2015-65 |
34-76599 |
Dec. 9, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Trades Market Data Product Offering
Comments due: January 5, 2016
|
SR-NYSE-2015-62 |
34-76598 |
Dec. 9, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 123C to Define the Term "Official Closing Price"
Comments due: January 5, 2016
Additional Materials: Exhibit 5
|
SR-NYSE-2015-63 |
34-76591 |
Dec. 8, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Listed Company Manual to Provide that Any Senior Official of a Listed Company with the Rank of Corporate Secretary or Higher Can Sign the Written Request of a Listed Company Seeking to Change Its Designated Market Maker Unit Required by Section 806.01 of the Manual
Comments due: January 4, 2016
Additional Materials: Exhibit 5
|
SR-NYSE-2015-64 |
34-76587 |
Dec. 8, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rules to Prescribe the Securities Traders Examination as the Qualifying Examination for Persons Associated with A Member Organization Engaged Solely in Proprietary Trading, and Amend Continuing Education Requirement Applicable to Such Members
Comments due: January 4, 2016
Additional Materials: Exhibit 5
|
SR-NYSE-2015-59 |
34-76553 |
Dec. 3, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 107C to Distinguish Between Retail Orders Routed on Behalf of Other Broker-Dealers and Retail Orders that are Routed on Behalf of Introduced Retail Accounts that are Carried on a Fully Disclosed Basis
Comments due: December 30, 2015 Additional Materials: Exhibit 5
|
SR-NYSE-2015-46 |
34-76551 |
Dec. 3, 2015 |
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Establish Rules to Comply with the Requirements of the Plan to Implement a Tick Size Pilot Plan Submitted to the Commission pursuant to Rule 608 of Regulation NMS under the Act
See also: Notice: Rel. No. 34-76229, Order: Rel. No. 34-76971, Notice/Order: Rel. No. 34-77703
|
SR-NYSE-2015-61 |
34-76539 |
Dec. 2, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 132 to Delete Supplementary Material .40 Requiring Members Effecting Transactions on the NYSE Trading Floor to Submit Certain Data Elements and Badge Information and to Make a Conforming Change
Comments due: December 29, 2015 Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-NYSE-2015-57 |
34-76485 |
Nov. 20, 2015 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Establishing Fees for the NYSE Integrated Feed
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-NYSE-2015-35 |
34-76436 |
Nov. 13, 2015 |
Notice of Filing of Amendment Nos. 3 and 5 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 3 and 5, Amending Exchange Disciplinary Rules to Facilitate the Reintegration of Certain Regulatory Functions from Financial Industry Regulatory Authority, Inc.
Comments due: December 10, 2015
See also: Notice: Rel. No. 34-76088, Notice: Rel. No. 34-75721
|
SR-NYSE-2015-45 |
34-76422 |
Nov. 10, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Constituting a Stated Interpretation with Respect to the Meaning, Administration, and Enforcement of Rule 28
Comments due: December 8, 2015
|
SR-NYSE-2015-55 |
34-76406 |
Nov. 10, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Discontinue the NYSE Realtime Reference Price Market Data Product Offering
Comments due: December 8, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2015-56 |
34-76400 |
Nov. 9, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List to Modify Certain Fees for Transactions that Remove Liquidity from the Exchange
Comments due: December 7, 2015 Additional Materials: Exhibit 5
|
SR-NYSE-2015-52 |
34-76374 |
Nov. 5, 2015 |
Notice of Filing of Proposed Rule Change to the Co-location Services Offered by the Exchange (the Offering of a Wireless Connection to Allow Users to Receive Market Data Feeds from Third Party Markets) and to Reflect Changes to the Exchange’s Price List Related to These Services
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-76748
|
SR-NYSE-2015-54 |
34-76369 |
Nov. 5, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide that the Co-location Services Offered by the Exchange Include 40 Gigabit Internet Protocol Network Connections in the Exchange’s Data Center and to Amend the Exchange’s Price List to Implement Fees for the New Service
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
|
SR-NYSE-2015-50 |
34-76346 |
Nov. 4, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Requiring Certain Member Organizations to Participate in Business Continuity and Disaster Recovery Plans Testing in Connection with Regulation Systems Compliance and Integrity
Comments due: December 1, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2015-51 |
34-76339 |
Nov. 4, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 19 to Specify in Exchange Rules the Exchange’s Use of Data Feeds from National Stock Exchange, Inc. for Order Handling and Execution, Order Routing, and Regulatory Compliance
Comments due: December 1, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2015-02 |
34-76323 |
Oct. 30, 2015 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Change, as Modified by Amendment No. 1, Amending Sections 312.03(b) and 312.04 of the NYSE Listed Company Manual to Exempt Early Stage Companies From Having to Obtain Shareholder Approval Before Issuing Shares for Cash to Related Parties, Affiliates of Related Parties or Entities In Which A Related Party has A Substantial Interest
See also: Notice: Rel. No. 34-74849, Notice: Rel. No. 34-75248, Notice: Rel. No. 34-75599, Notice/Order: Rel. No. 34-76814
|
SR-NYSE-2015-47 |
34-76296 |
Oct. 29, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Discontinuing the NYSE Retail Trading Product and the NYSE Program Trading Product Market Data Product Offerings
Comments due: November 25, 2015
Comments received are available for this proposal.
|
SR-NYSE-2015-49 |
34-76290 |
Oct. 28, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 123D to Specify that Exchange Systems may Open One or More Securities Electronically if a Designated Market Maker Registered in a Security or Securities Cannot Facilitate the Opening of Trading as Required by Exchange Rules
Comments due: November 24, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2015-48 |
34-76277 |
Oct. 27, 2015 |
Notice of Filing of Proposed Rule Change Deleting Rule 410B Governing Reporting Requirements for Off-Exchange Transactions
Comments due: November 23, 2015
Additional Materials: Exhibit 5
See also: Order: Rel No. 34-76983, Notice: Rel. No. 34-76666
|
SR-NYSE-2015-42 |
34-76269 |
Oct. 26, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Procedures and Credits in Connection with the Re-location of Equipment in the Exchange’s Data Center
Comments due: November 20, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2015-46 |
34-76229 |
Oct. 22, 2015 |
Notice of Filing of Proposed Rule Change Establishing Rules to Comply with the Requirements of the Plan to Implement a Tick Size Pilot Plan Submitted to the Commission pursuant to Rule 608 of Regulation NMS under the Act
Comments due: November 18, 2015
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-76551, Order: Rel. No. 34-76971, Notice/Order: Rel. No. 34-77703
Comments received are available for this proposal.
|
SR-NYSE-2015-36 |
34-76127 |
Oct. 9, 2015 |
Order Approving Proposed Rule Change, Amending Section 907.00 of the Listed Company Manual (the "Manual") to (i) Amend the Suite of Complimentary Products and Services that are Offered to Certain Current and Newly Listed Companies, (ii) Update the Value of Complimentary Products and Services Offered to Listed Companies, and (iii) Provide that Complimentary Products and Services Would also be Offered to Companies that Transfer their Listing to the Exchange from Another National Securities Exchange
See also: Notice: Rel. No. 34-75740
|
SR-NYSE-2015-44 |
34-76110 |
Oct. 8, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 902.03, 902.04, 902.05 and 902.06 of the Listed Company Manual to Increase Certain of the Fees Set Forth Therein
Comments due: November 5, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2015-35 |
34-76088 |
Oct. 7, 2015 |
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Amend Certain Exchange Disciplinary Rules to Facilitate the Reintegration of Certain Regulatory Functions from Financial Industry Regulatory Authority, Inc.
See also: Notice: Rel. No. 34-76436, Notice: Rel. No. 34-75721
|
SR-NYSE-2015-43 |
34-76072 |
Oct. 5, 2015 |
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: October 30, 2015
Additional Materials: Exhibit 5
|
Third Quarter |
SR-NYSE-2015-40 |
34-76008 |
Sep. 29, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding Definitions Applicable to Certain Co-location Services to the Exchange's Price List and Modifying the Fee for Users that Host Their Customers at the Exchange's Data Center
Comments due: October 26, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2015-41 |
34-75993 |
Sep. 28, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange’s Retail Liquidity Program until March 31, 2016
Comments due: October 23, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2015-27 |
34-75991 |
Sep. 28, 2015 |
Order Approving Proposed Rule Change Amending the Eighth Amended and Restated Operating Agreement of the Exchange to Establish a Regulatory Oversight Committee as a Committee of the Board of Directors of the Exchange and Amending Other Rules of the Exchange
See also: Notice: Rel. No. 34-75659, Notice: Rel. No. 34-75288
|
SR-NYSE-2015-39 |
34-75966 |
Sep. 22, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Supplementary Material .20 to Rule 103 to Permit Member Organizations that Operate as Designated Market Maker Units on the Exchange and Also Operate DMM Units on the NYSE MKT LLC to Make an Adjustment to Excess Net Capital
Comments due: October 19, 2015
|
SR-NYSE-2015-31 |
34-75937 |
Sep. 17, 2015 |
Order Instituting Proceedings to Determine Whether to Disapprove the Proposed Rule Changes Amending the NYSE Trades Market Data and NYSE MKT Trades Market Data Product Offerings
Comments due: 21 days after publication in the Federal Register
Rebuttal comments due: 35 days after publication in the Federal Register
Additional File No.: SR-NYSEMKT-2015-56
See also: Notice: Rel. No. 34-77047, Notice: Rel. No. 34-75556, Notice: Rel. No. 34-75559
|
SR-NYSE-2015-38 |
34-75809 |
Sep. 2, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 202.06 of the NYSE Listed Company Manual
Comments due: September 30, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-NYSE-2015-37 |
34-75793 |
Aug. 31, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List to Raise the NYSE Crossing Session II Fee Cap
Comments due: September 25, 2015
|
SR-NYSE-2015-36 |
34-75740 |
Aug. 19, 2015 |
Notice of Filing of Proposed Rule Change Amending Section 907.00 of the Listed Company Manual (the “Manual”) to (i) Amend the Suite of Complimentary Products and Services that are Offered to Certain Current and Newly Listed Companies, (ii) Update the Value of Complimentary Products and Services Offered to Listed Companies, and (iii) Provide that Complimentary Products and Services Would also be Offered to Companies that Transfer their Listing to the Exchange from Another National Securities Exchange
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-76127
|
SR-NYSE-2015-35 |
34-75721 |
Aug. 18, 2015 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Amending Certain of Its Disciplinary Rules to Facilitate the Reintegration of Certain Regulatory Functions from Financial Industry Regulatory Authority, Inc.
Comments due: September 14, 2015
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-76436, Notice: Rel. No. 34-76088
Comments received are available for this proposal.
|
SR-NYSE-2015-33 |
34-75695 |
Aug. 13, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 79A to Delete Supplementary Material .20 Requiring Prior Floor Official Approval Before a Designated Market Maker can Initiate Certain Trades More than One or Two Dollars Away From the Last Sale
Comments due: September 9, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2015-27 |
34-75659 |
Aug. 11, 2015 |
Designation of a Longer Period for Commission Action on a Proposed Rule Change Amending the Eighth Amended and Restated Operating Agreement of the Exchange to Establish a Regulatory Oversight Committee as a Committee of the Board of Directors of the Exchange and Make Certain Conforming Amendments to Exchange Rules
Comments due: 21 days after publication in the Federal Register
See also: Notice: Rel. No. 34-75991, Notice: Rel. No. 34-75288
|
SR-NYSE-2015-34 |
34-75648 |
Aug. 7, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Manner in which It Calculates Certain Volume, Liquidity and Quoting Thresholds Applicable to Billing on the Exchange in Relation to a Suspension of Trading on the Exchange on July 8, 2015
Comments due: September 3, 2015
|
SR-NYSE-2015-02 |
34-75599 |
Aug. 4, 2015 |
Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Change Amending Sections 312.03(b) and 312.04 of the NYSE Listed Company Manual to Exempt Early Stage Companies From Having to Obtain Shareholder Approval Before Issuing Shares for Cash to Related Parties, Affiliates of Related Parties or Entities In Which A Related Party Has A Substantial Interes
Comments due: August 31, 2015
Rebuttal comments due: September 14, 2015
See also: Notice: Rel. No. 34-76323, Notice: Rel. No. 34-74849, Notice: Rel. No. 34-75248, Notice/Order: Rel. No. 34-76814
Comments received are available for this proposal.
|
SR-NYSE-2015-26 |
34-75578 |
Jul. 31, 2015 |
Order Granting Approval of a Proposed Rule Change Making Permanent the Rules of the NYSE New Market Model Pilot and the NYSE Supplemental Liquidity Providers Pilot See also: Notice: Rel. No. 34-75153
Additional Materials: Exhibit 5
|
SR-NYSE-2015-31 |
34-75556 |
Jul. 30, 2015 |
Notice of Filing of Proposed Rule Change Amending the NYSE Trades Market Data Product Offering
Comments due: August 26, 2015
See also: Notice: Rel. No. 34-77047, Order: Rel. No. 34-75937
Comments received are available for this proposal.
|
SR-NYSE-2015-15 |
34-75444 |
Jul. 13, 2015 |
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to Amend NYSE Rule 13 and Related Rules Governing Order Types and Modifiers
Comments due: August 7, 2015
|
SR-NYSE-2015-30 |
34-75353 |
Jul. 2, 2015 |
Notice of Filing of Proposed Rule Change to Amend its Price List to Revise: (i) the Non-Tier Adding Credit; (ii) Certain Fees for Executions at the Close; (iii) Credits Applicable to Designated Market Makers; (iv) Credits Applicable to Supplemental Liquidity Providers; and (v) Pricing Related to the Retail Liquidity Program Under Rule 107C as it Relates to Designated Market Maker Transactions, and to Make Non-Substantive Changes to the Price List
Comments due: July 30, 2015
Additional Materials: Exhibit 5
|
Second Quarter |
SR-NYSE-2015-27 |
34-75288 |
Jun. 24, 2015 |
Notice of Filing of Proposed Rule Change Amending the Eighth Amended and Restated Operating Agreement of the Exchange to Establish a Regulatory Oversight Committee as a Committee of the Board of Directors of the Exchange and Make Certain Conforming Amendments to Exchange Rules
Comments due: July 21, 2015
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-75991, Notice: 34-75659
Comments received are available for this proposal.
|
SR-NYSE-2015-02 |
34-75248 |
Jun. 18, 2015 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Sections 312.03(b) and 312.04 of the NYSE Listed Company Manual to Exempt Early Stage Companies From Having to Obtain Shareholder Approval Before Issuing Shares for Cash to Related Parties, Affiliates of Related Parties or Entities In Which A Related Party has A Substantial Interest
See also: Notice: Rel. No. 34-76323, Notice: Rel. No. 34-74849, Notice: Rel. No. 34-75599, Notice/Order: Rel. No. 34-76814
|
SR-NYSE-2015-26 |
34-75153 |
Jun. 11, 2015 |
Notice of Filing of Proposed Rule Change Making Permanent the Rules of the New Market Model Pilot and the Supplemental Liquidity Providers Pilot
Comments due: July 8, 2015
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-75578
|
SR-NYSE-2015-28 |
34-75139 |
Jun. 10, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Price List to Revise Fees and Credits for Mid-Point Passive Liquidity Orders and Non Displayed Reserve Orders and to Revise Credits Applicable to Certain Transactions at the Open, Certain Designated Market Maker transactions, and Certain Supplemental Liquidity Provider Transactions
Comments due: July 7, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2015-16 |
34-75105 |
Jun. 4, 2015 |
Order Approving Proposed Rule Change to Amend the Seventh Amended and Restated Operating Agreement of the New York Stock Exchange LLC
See also: Notice: Rel. No. 34-74766
|
SR-NYSE-2015-25 |
34-75057 |
May 28, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 804.00 of the Listed Company Manual to Specify that Issuers Seeking a Review of a Delisting Decision Made by the Staff of NYSE Regulation, Inc. Must Have Paid All Prior Fees Owed to the Exchange
Comments due: June 23, 2015
|
SR-NYSE-2015-15 |
34-75048 |
May 27, 2015 |
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Amending NYSE Rule 13 and Related Rules Governing Order Types and Modifiers
See also: Notice: Rel. No. 34-75444, Notice: Rel. No. 34-74678
|
SR-NYSE-2015-06 |
34-75038 |
May 22, 2015 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Adopting New NYSE Rule 124 to Conduct a Midday Auction and Amending NYSE Rule 104 to Codify the Obligation of Designated Market Makers to Facilitate the Midday Auction
Comments due: June 19, 2015
See also: Notice: Rel. No. 34-74648, Notice: Rel. No. 34-74281
|
SR-NYSE-2015-18 |
34-74928 |
May 12, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Constituent Documents of Its Intermediate Parent Companies NYSE Holdings LLC., Intercontinental Exchange, Inc., to Eliminate Certain Provisions That by Their Terms Have Become Void and Are of No Further Force and Effect as a Result of the Sale by ICE of Euronext N.V. in June 2014 and Make Conforming Changes to the Independence Policy of the Board of Directors of ICE
Comments due: June 8, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2015-23 |
34-74889 |
May 6, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting Rules 16 and 17T Related to the Terminated Intermarket Trading System ,NMS Linkage Plans, and Amending Rules 45, 47, 52, 54, 93, 94, 95, 104A.50 and 123 to Remove Outdated References to the ITS Plan
Comments due: June 2, 2015
|
SR-NYSE-2015-21 |
34-74872 |
May 5, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE Order Imbalances to Add a Late Fee in Connection with Failure to Submit the Non-display Use Declaration
Comments due: June 1, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2015-20 |
34-74870 |
May 5, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE OpenBook to Add a Late Fee in Connection with Failure to Submit the Non-display Use Declaration
Comments due: June 1, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2015-22 |
34-74861 |
May 4, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE BBO and NYSE Trades to Add a Late Fee In Connection with Failure to Submit the Non-display Use Declaration
Comments due: May 29, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2015-02 |
34-74849 |
Apr. 30, 2015 |
Notice of Filing of Proposed Rule Change Amending Sections 312.03(b) and 312.04 of the NYSE Listed Company Manual to Exempt Early Stage Companies From Having to Obtain Shareholder Approval Before Issuing Shares for Cash to Related Parties, Affiliates of Related Parties or Entities In Which A Related Party has A Substantial Interest
Comments due: May 27, 2015
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-76323, Notice: Rel. No. 34-75248, Notice: Rel. No. 34-75599, Notice/Order: Rel. No. 34-76814
|
SR-NYSE-2015-19 |
34-74837 |
Apr. 29, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 15 to Reflect that Exchange Systems Will Not Publish Order Imbalance Information on the Initial Public Offering of a Security
Comments due: May 26, 2015
|
SR-NYSE-2015-16 |
34-74766 |
Apr. 20, 2015 |
Notice of Filing of Proposed Rule Change to Amend the Seventh Amended and Restated Operating Agreement of the New York Stock Exchange LLC.
Comments due: May 15, 2015
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-75105
|
SR-NYSE-2014-59 |
34-74642A |
Apr. 9, 2015 |
Notice of Withdrawal of a Proposed Rule Change, as Modified by Partial Amendment No. 1, Amending Rule 13 and Related Rules Governing Order Types and Modifiers; Correction
See also: Notice: Rel. No. 34-74642, Notice: Rel. No. 34-74051, Notice: Rel. No. 34-73703
|
SR-NYSE-2015-15 |
34-74678 |
Apr. 8, 2015 |
Notice of Filing of Proposed Rule Change Amending Rule 13 and Related Rules Governing Order Types and Modifiers
Comments due: May 5, 2015
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-75444, Notice: Rel. No. 34-75048
Comments received are available for this proposal.
|
SR-NYSE-2015-14 |
34-74649 |
Apr. 6, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 1000 to Reflect that Exchange Systems will Reject Incoming Orders of Over 1,000,000 Shares that are Marketable Upon Arrival
Comments due: May 1, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2015-06 |
34-74648 |
Apr. 6, 2015 |
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Adopting New Rule 124 to Conduct a Midday Auction and Amending Rule 104 to Codify the Obligation of Designated Market Makers to Facilitate the Midday Auction
See also: Notice: Rel. No. 34-74281,
Notice: Rel. No. 34-75038 |
SR-NYSE-2014-59 |
34-74642 |
Apr. 3, 2015 |
Notice of Withdrawal of a Proposed Rule Change, as Modified by Partial Amendment No. 1, Amending Rule 13 and Related Rules Governing Order Types and Modifiers
See also: Notice: Rel. No. 34-74642A; Notice: Rel. No. 34-74051, Notice: Rel. No. 34-73703
|
SR-NYSE-2015-13 |
34-74640 |
Apr. 2, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Specify that a Member Organization May Request that The Exchange Aggregate its Eligible Activity with Activity of the Member Organization's Affiliates For Purposes of Charges or Credits Based on Volume
Comments due: April 29, 2015
Additional Materials: Exhibit 5
|
First Quarter |
SR-NYSE-2015-12 |
34-74570 |
Mar. 24, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 Relating to Pegging Interest
Comments due: April 20, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2015-10 |
34-74454 |
Mar. 6, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period for the Exchange's Retail Liquidity Program Which is Currently Scheduled to Expire on March 31, 2015, until September 30, 2015
Comments due: April 2, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2014-65 |
34-74412 |
Mar. 2, 2015 |
Order Approving a Proposed Rule Change Amending Its Continued Listing Requirements, As Set Forth in Section 802.01E of the Exchange's Listed Company Manual, In Relation to the Late Filing of a Company's Annual or Quarterly Report with the Securities and Exchange Commission
See also: Notice: Rel. No. 34-74184, Notice: Rel. No. 34-73821
|
SR-NYSE-2015-09 |
34-74410 |
Mar. 2, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Specifying in Exchange Rules the Exchange's Use of Certain Data Feeds for Order Handling and Execution, Order Routing, and Regulatory Compliance
Comments due: March 27, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2015-08 |
34-74405 |
Mar. 2, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List
Comments due: March 27, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2015-07 |
34-74287 |
Feb. 18, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 402.05 of the NYSE Listed Company Manual to Clarify that Listed Companies Soliciting Proxy Material Through Brokers or Other Entities Must Comply with SEC Rule 14a-13
Comments due: March 17, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2015-06 |
34-74281 |
Feb. 17, 2015 |
Notice of Filing of Proposed Rule Change Adopting New Rule 124 to Conduct a Midday Auction and Amending Rule 104 to Codify the Obligation of Designated Market Makers to Facilitate the Midday Auction
Comments due: March 16, 2015
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-74648, Notice: Rel. No. 34-75038 Comments received are available for this proposal.
|
SR-NYSE-2015-05 |
34-74222 |
Feb. 6, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Include Internet Protocol Network Connections and Fiber Cross Connects Between a User's Cabinet and Non-User's Equipment as Co-Location Services
Comments due: March 5, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2014-65 |
34-74184 |
Jan. 30, 2015 |
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Amending Its Continued Listing Requirements In Relation to the Late Filing of a Company's Annual Report with the Securities and Exchange Commission As Set Forth in Section 802.01E of the Exchange's Listed Company Manual
See also: Order: Rel. No. 34-74412; Notice: Rel. No. 34-73821
|
SR-NYSE-2015-04 |
34-74174 |
Jan. 29, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change with the Proposed Amendment of the Restated Certificate of Incorporation of Exchange Subsidiary NYSE Regulation, Inc.
Comments due: February 25, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2015-03 |
34-74128 |
Jan. 23, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing the NYSE Integrated Feed Data Feed
Comments due: February 19, 2015
|
SR-NYSE-2015-01 |
34-74063 |
Jan. 15, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a Price Protection Mechanism to Prevent the Automatic Execution of Incoming Market Orders and Marketable Limit Orders Outside a Specified Parameter and Eliminate Liquidity Replenishment Points and the Gap Quote Policy
Comments due: February 12, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2014-59 |
34-74051 |
Jan. 14, 2015 |
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Amending Rule 13 and Related Rules Governing Order Types and Modifiers, as modified by Partial Amendment No. 1
See also: Notice: Rel. No. 34-74642A; Notice: Rel. No. 34-74642, Notice: Rel. No. 34-73703
|
SR-NYSE-2014-63 |
34-74035 |
Jan. 12, 2015 |
Order Approving Proposed Rule Change Amending Rules 311 and 313 to Add Limited Liability Companies as Eligible Member Organizations and Delineate the Information Limited Liability Companies Must Submit to the Exchange as Part of the Membership Process; Eliminate the Requirement that a Member Corporation Be Created or Organized, and Maintain its Principal Place of Business, in the United States; and Make Additional Related Amendments to Update Its Membership Rules
See also: Notice: Rel. No. 34-73672
|
SR-NYSE-2014-78 |
34-74031 |
Jan. 12, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List Relating to Fees for Bond Trading License Firms
Comments due: February 6, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2014-76 |
34-74027 |
Jan. 9, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE OpenBook
Comments due: February 5, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2014-62 |
34-74010 |
Jan. 7, 2015 |
Order Approving Proposed Rule Change Amending the Bylaws of New York Stock Exchange LLC's Wholly-Owned Subsidiary, NYSE Regulation, Inc., to Provide that Non-Affiliated Directors of NYSE Regulation, Inc. Would Not Be Removed for Cause If They Are Acting in Good Faith in Exercising their Responsibilities as Directors Related to NYSE Regulation's Functions and Responsibilities Delegated to It Under the Delegation Agreement between New York Stock Exchange LLC, NYSE Regulation and NYSE Market (DE), Inc.
See also: Notice: Rel. No. 34-73657
|
SR-NYSE-2014-73 |
34-74006 |
Jan. 6, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 123C to Specify that Exchange Systems May Close One or More Securities Electronically
Comments due: February 2, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2014-70 |
34-73997 |
Jan. 6, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List to Eliminate Transaction Fees for Midpoint Passive Liquidity Orders that Remove Liquidity from the Exchange and that Are Designated with a "Retail" Modifier as Defined in Rule 13
Comments due: February 2, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2014-74 |
34-73996 |
Jan. 6, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List Related to Fees for Trading Licenses to Extend the Current Fee Schedule to February 27, 2015 and to Implement New Trading License Fees Effective March 1, 2015
Comments due: February 2, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2014-77 |
34-73994 |
Jan. 6, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE Order Imbalances
Comments due: February 2, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2014-75 |
34-73985 |
Jan. 5, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE BBO and NYSE Trades
Comments due: January 30, 2015
Additional Materials: Exhibit 5
|
NYSE File Number List for 2015 |
Release No. |
Date |
Details |
SR-NYSE-2015-67 |
34-76803 |
Dec. 30, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting New Rules to Reflect the Implementation of Pillar, the Exchange’s New Trading Technology Platform
Comments due: January 27, 2016
Additional Materials: Exhibit 5
|
SR-NYSE-2015-66 |
34-76789 |
Dec. 29, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List to Modify Certain Fees for Executions at the Close
Comments due: January 26, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-NYSE-2015-65 |
34-76599 |
Dec. 9, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Trades Market Data Product Offering
Comments due: January 5, 2016
|
SR-NYSE-2015-64 |
34-76587 |
Dec. 8, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rules to Prescribe the Securities Traders Examination as the Qualifying Examination for Persons Associated with A Member Organization Engaged Solely in Proprietary Trading, and Amend Continuing Education Requirement Applicable to Such Members
Comments due: January 4, 2016
Additional Materials: Exhibit 5
|
SR-NYSE-2015-63 |
34-76591 |
Dec. 8, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Listed Company Manual to Provide that Any Senior Official of a Listed Company with the Rank of Corporate Secretary or Higher Can Sign the Written Request of a Listed Company Seeking to Change Its Designated Market Maker Unit Required by Section 806.01 of the Manual
Comments due: January 4, 2016
Additional Materials: Exhibit 5
|
SR-NYSE-2015-62 |
34-76598 |
Dec. 9, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 123C to Define the Term "Official Closing Price"
Comments due: January 5, 2016
Additional Materials: Exhibit 5
|
SR-NYSE-2015-61 |
34-76539 |
Dec. 2, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 132 to Delete Supplementary Material .40 Requiring Members Effecting Transactions on the NYSE Trading Floor to Submit Certain Data Elements and Badge Information and to Make a Conforming Change
Comments due: December 29, 2015 Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-NYSE-2015-60 |
34-76649 |
Dec. 15, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 13 to Eliminate Good til Cancelled (“GTC”) Orders and Stop Orders, and Make Conforming Changes to Rules 49, 61, 70, 104, 109, 115A, 116, 118, 123, 123A, 123C, 123D, 1000, 1004 and 6140
Comments due: January 11, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-NYSE-2015-59 |
34-76553 |
Dec. 3, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 107C to Distinguish Between Retail Orders Routed on Behalf of Other Broker-Dealers and Retail Orders that are Routed on Behalf of Introduced Retail Accounts that are Carried on a Fully Disclosed Basis
Comments due: December 30, 2015 Additional Materials: Exhibit 5
|
SR-NYSE-2015-57 |
34-76485 |
Nov. 20, 2015 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Establishing Fees for the NYSE Integrated Feed
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-NYSE-2015-56 |
34-76400 |
Nov. 9, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List to Modify Certain Fees for Transactions that Remove Liquidity from the Exchange
Comments due: December 7, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2015-55 |
34-76406 |
Nov. 10, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Discontinue the NYSE Realtime Reference Price Market Data Product Offering
Comments due: December 8, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2015-54 |
34-76369 |
Nov. 5, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide that the Co-location Services Offered by the Exchange Include 40 Gigabit Internet Protocol Network Connections in the Exchange’s Data Center and to Amend the Exchange’s Price List to Implement Fees for the New Service
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
|
SR-NYSE-2015-53 |
34-77072 |
Feb. 5, 2016 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, to Provide that the Co-location Services Offered by the Exchange include Three Time Feeds and Four Partial Cabinet Bundle Options
Comments due: March 3, 2016
|
34-76612 |
Dec. 10, 2015 |
Notice of Filing of Proposed Rule Change to Its Rules to Provide that the Co-location Services Offered By the Exchange Include Three Time Feeds and Four Bundles of Co-location Services December 10, 2015
Comments due: January 6, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-NYSE-2015-52 |
34-76748 |
Dec. 23, 2015 |
Order Approving Proposed Rule Change to the Co-location Services Offered by the Exchange (the Offering of a Wireless Connection to Allow Users to Receive Market Data Feeds from Third Party Markets) and to Reflect Changes to the Exchange’s Price List Related to These Service
|
34-76374 |
Nov. 5, 2015 |
Notice of Filing of Proposed Rule Change to the Co-location Services Offered by the Exchange (the Offering of a Wireless Connection to Allow Users to Receive Market Data Feeds from Third Party Markets) and to Reflect Changes to the Exchange’s Price List Related to These Services
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
|
SR-NYSE-2015-51 |
34-76339 |
Nov. 4, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 19 to Specify in Exchange Rules the Exchange’s Use of Data Feeds from National Stock Exchange, Inc. for Order Handling and Execution, Order Routing, and Regulatory Compliance
Comments due: December 1, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2015-50 |
34-76346 |
Nov. 4, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Requiring Certain Member Organizations to Participate in Business Continuity and Disaster Recovery Plans Testing in Connection with Regulation Systems Compliance and Integrity
Comments due: December 1, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2015-49 |
34-76290 |
Oct. 28, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 123D to Specify that Exchange Systems may Open One or More Securities Electronically if a Designated Market Maker Registered in a Security or Securities Cannot Facilitate the Opening of Trading as Required by Exchange Rules
Comments due: November 24, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2015-48 |
34-76983 |
Jan. 28, 2016 |
Order Approving a Proposed Rule Change Deleting Rule 410B Governing Reporting Requirements for Off-Exchange Transactions
|
34-76666 |
Dec. 16, 2015 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Deleting Rule 410B Governing Reporting Requirements for Off-Exchange Transactions
|
34-76277 |
Oct. 27, 2015 |
Notice of Filing of Proposed Rule Change Deleting Rule 410B Governing Reporting Requirements for Off-Exchange Transactions
Comments due: November 23, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2015-47 |
34-76296 |
Oct. 29, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Discontinuing the NYSE Retail Trading Product and the NYSE Program Trading Product Market Data Product Offerings
Comments due: November 25, 2015
Comments received are available for this proposal.
|
SR-NYSE-2015-46 |
34-77703 |
Apr. 25, 2016 |
Notice of Filing of Partial Amendment Nos. 1 and 2 and Order Granting Accelerated Approval to a Proposed Rule Change to Adopt NYSE Rule 67 to Implement the Quoting and Trading Requirements of the Regulation NMS Plan to Implement A Tick Size Pilot Program
Comments due: 21 days after publication in the Federal Register
See also: Exemptive Letter
|
34-76971 |
Jan. 25, 2016 |
Order Instituting Proceedings to Determine Whether to Disapprove a Proposed Rule Change to Establish Rules to Comply with the Quoting and Trading Requirements of the Plan to Implement a Tick Size Pilot Plan Submitted to the Commission Pursuant to Rule 608 of Regulation NMS under the Act
Comments due: February 19, 2016
Rebuttal comments due: March 4, 2016
|
34-76551 |
Dec. 3, 2015 |
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Establish Rules to Comply with the Requirements of the Plan to Implement a Tick Size Pilot Plan Submitted to the Commission pursuant to Rule 608 of Regulation NMS under the Act |
34-76229 |
Oct. 22, 2015 |
Notice of Filing of Proposed Rule Change Establishing Rules to Comply with the Requirements of the Plan to Implement a Tick Size Pilot Plan Submitted to the Commission pursuant to Rule 608 of Regulation NMS under the Act
Comments due: November 18, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-NYSE-2015-45 |
34-76422 |
Nov. 10, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Constituting a Stated Interpretation with Respect to the Meaning, Administration, and Enforcement of Rule 28
Comments due: December 8, 2015
|
SR-NYSE-2015-44 |
34-76110 |
Oct. 8, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 902.03, 902.04, 902.05 and 902.06 of the Listed Company Manual to Increase Certain of the Fees Set Forth Therein
Comments due: November 5, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2015-43 |
34-76072 |
Oct. 5, 2015 |
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: October 30, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2015-42 |
34-76269 |
Oct. 26, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Procedures and Credits in Connection with the Re-location of Equipment in the Exchange’s Data Center
Comments due: November 20, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2015-41 |
34-75993 |
Sep. 28, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange’s Retail Liquidity Program until March 31, 2016
Comments due: October 23, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2015-40 |
34-76008 |
Sep. 29, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding Definitions Applicable to Certain Co-location Services to the Exchange's Price List and Modifying the Fee for Users that Host Their Customers at the Exchange's Data Center
Comments due: October 26, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2015-39 |
34-75966 |
Sep. 22, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Supplementary Material .20 to Rule 103 to Permit Member Organizations that Operate as Designated Market Maker Units on the Exchange and Also Operate DMM Units on the NYSE MKT LLC to Make an Adjustment to Excess Net Capital
Comments due: October 19, 2015
|
SR-NYSE-2015-38 |
34-75809 |
Sep. 2, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 202.06 of the NYSE Listed Company Manual
Comments due: September 30, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-NYSE-2015-37 |
34-75793 |
Aug. 31, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List to Raise the NYSE Crossing Session II Fee Cap
Comments due: September 25, 2015
|
SR-NYSE-2015-36 |
34-76127 |
Oct. 9, 2015 |
Order Approving Proposed Rule Change, Amending Section 907.00 of the Listed Company Manual (the "Manual") to (i) Amend the Suite of Complimentary Products and Services that are Offered to Certain Current and Newly Listed Companies, (ii) Update the Value of Complimentary Products and Services Offered to Listed Companies, and (iii) Provide that Complimentary Products and Services Would also be Offered to Companies that Transfer their Listing to the Exchange from Another National Securities Exchange
See also: Notice: Rel. No. 34-75740
|
34-75740 |
Aug. 19, 2015 |
Notice of Filing of Proposed Rule Change Amending Section 907.00 of the Listed Company Manual (the “Manual”) to (i) Amend the Suite of Complimentary Products and Services that are Offered to Certain Current and Newly Listed Companies, (ii) Update the Value of Complimentary Products and Services Offered to Listed Companies, and (iii) Provide that Complimentary Products and Services Would also be Offered to Companies that Transfer their Listing to the Exchange from Another National Securities Exchange
Comments due: September 15, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2015-35 |
34-76436 |
Nov. 13, 2015 |
Notice of Filing of Amendment Nos. 3 and 5 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 3 and 5, Amending Exchange Disciplinary Rules to Facilitate the Reintegration of Certain Regulatory Functions from Financial Industry Regulatory Authority, Inc.
Comments due: December 10, 2015
|
34-76088 |
Oct. 7, 2015 |
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Amend Certain Exchange Disciplinary Rules to Facilitate the Reintegration of Certain Regulatory Functions from Financial Industry Regulatory Authority, Inc.
|
34-75721 |
Aug. 18, 2015 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Amending Certain of Its Disciplinary Rules to Facilitate the Reintegration of Certain Regulatory Functions from Financial Industry Regulatory Authority, Inc.
Comments due: September 14, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-NYSE-2015-34 |
34-75648 |
Aug. 7, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Manner in which It Calculates Certain Volume, Liquidity and Quoting Thresholds Applicable to Billing on the Exchange in Relation to a Suspension of Trading on the Exchange on July 8, 2015
Comments due: September 3, 2015
|
SR-NYSE-2015-33 |
34-75695 |
Aug. 13, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 79A to Delete Supplementary Material .20 Requiring Prior Floor Official Approval Before a Designated Market Maker can Initiate Certain Trades More than One or Two Dollars Away From the Last Sale
Comments due: September 9, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2015-31 |
34-77047 |
Feb. 3, 2016 |
Notice of Withdrawal of Proposed Rule Changes Amending the NYSE Trades Market Data and NYSE MKT Trades Market Data Product Offerings
Additional File No.: SR-NYSEMKT-2015-56
See also: Notice: Rel. No. 34-75556, Notice: Rel. No. 34-75937, Notice: Rel. No. 34-75559
|
34-75937 |
Sep. 17, 2015 |
Order Instituting Proceedings to Determine Whether to Disapprove the Proposed Rule Changes Amending the NYSE Trades Market Data and NYSE MKT Trades Market Data Product Offerings
Comments due: 21 days after publication in the Federal Register
Rebuttal comments due: 35 days after publication in the Federal Register
Additional File No.: SR-NYSEMKT-2015-56
See also: Notice: Rel. No. 34-75556, Notice: Rel. No. 34-75559
|
34-75556 |
Jul. 30, 2015 |
Notice of Filing of Proposed Rule Change Amending the NYSE Trades Market Data Product Offering
Comments due: August 26, 2015
Comments received are available for this proposal.
|
SR-NYSE-2015-30 |
34-75353 |
Jul. 2, 2015 |
Notice of Filing of Proposed Rule Change to Amend its Price List to Revise: (i) the Non-Tier Adding Credit; (ii) Certain Fees for Executions at the Close; (iii) Credits Applicable to Designated Market Makers; (iv) Credits Applicable to Supplemental Liquidity Providers; and (v) Pricing Related to the Retail Liquidity Program Under Rule 107C as it Relates to Designated Market Maker Transactions, and to Make Non-Substantive Changes to the Price List
Comments due: July 30, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2015-28 |
34-75139 |
Jun. 10, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Price List to Revise Fees and Credits for Mid-Point Passive Liquidity Orders and Non Displayed Reserve Orders and to Revise Credits Applicable to Certain Transactions at the Open, Certain Designated Market Maker transactions, and Certain Supplemental Liquidity Provider Transactions
Comments due: July 7, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2015-27 |
34-75991 |
Sep. 28, 2015 |
Order Approving Proposed Rule Change Amending the Eighth Amended and Restated Operating Agreement of the Exchange to Establish a Regulatory Oversight Committee as a Committee of the Board of Directors of the Exchange and Amending Other Rules of the Exchange
|
34-75659 |
Aug. 11, 2015 |
Designation of a Longer Period for Commission Action on a Proposed Rule Change Amending the Eighth Amended and Restated Operating Agreement of the Exchange to Establish a Regulatory Oversight Committee as a Committee of the Board of Directors of the Exchange and Make Certain Conforming Amendments to Exchange Rules
Comments due: 21 days after publication in the Federal Register
|
34-75288 |
Jun. 24, 2015 |
Notice of Filing of Proposed Rule Change Amending the Eighth Amended and Restated Operating Agreement of the Exchange to Establish a Regulatory Oversight Committee as a Committee of the Board of Directors of the Exchange and Make Certain Conforming Amendments to Exchange Rules
Comments due: July 21, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-NYSE-2015-26 |
34-75578 |
Jul. 31, 2015 |
Order Granting Approval of a Proposed Rule Change Making Permanent the Rules of the NYSE New Market Model Pilot and the NYSE Supplemental Liquidity Providers Pilo
See also: Notice: Rel. No. 34-75153
Additional Materials: Exhibit 5
|
34-75153 |
Jun. 11, 2015 |
Notice of Filing of Proposed Rule Change Making Permanent the Rules of the New Market Model Pilot and the Supplemental Liquidity Providers Pilot
Comments due: July 8, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2015-25 |
34-75057 |
May 28, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 804.00 of the Listed Company Manual to Specify that Issuers Seeking a Review of a Delisting Decision Made by the Staff of NYSE Regulation, Inc. Must Have Paid All Prior Fees Owed to the Exchange
Comments due: June 23, 2015
|
SR-NYSE-2015-23 |
34-74889 |
May 6, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting Rules 16 and 17T Related to the Terminated Intermarket Trading System ,NMS Linkage Plans, and Amending Rules 45, 47, 52, 54, 93, 94, 95, 104A.50 and 123 to Remove Outdated References to the ITS Plan
Comments due: June 2, 2015
|
SR-NYSE-2015-22 |
34-74861 |
May 4, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE BBO and NYSE Trades to Add a Late Fee In Connection with Failure to Submit the Non-display Use Declaration
Comments due: May 29, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2015-21 |
34-74872 |
May 5, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE Order Imbalances to Add a Late Fee in Connection with Failure to Submit the Non-display Use Declaration
Comments due: June 1, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2015-20 |
34-74870 |
May 5, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE OpenBook to Add a Late Fee in Connection with Failure to Submit the Non-display Use Declaration
Comments due: June 1, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2015-19 |
34-74837 |
Apr. 29, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 15 to Reflect that Exchange Systems Will Not Publish Order Imbalance Information on the Initial Public Offering of a Security
Comments due: May 26, 2015
|
SR-NYSE-2015-18 |
34-74928 |
May 12, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Constituent Documents of Its Intermediate Parent Companies NYSE Holdings LLC., Intercontinental Exchange, Inc., to Eliminate Certain Provisions That by Their Terms Have Become Void and Are of No Further Force and Effect as a Result of the Sale by ICE of Euronext N.V. in June 2014 and Make Conforming Changes to the Independence Policy of the Board of Directors of ICE
Comments due: June 8, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2015-16 |
34-75105 |
Jun. 4, 2015 |
Order Approving Proposed Rule Change to Amend the Seventh Amended and Restated Operating Agreement of the New York Stock Exchange LLC
|
34-74766 |
Apr. 20, 2015 |
Notice of Filing of Proposed Rule Change to Amend the Seventh Amended and Restated Operating Agreement of the New York Stock Exchange LLC.
Comments due: May 15, 2015
Additional Materials: Exhibit 5
|
SR-NYSE-2015-15 |
34-75444 |
Jul. 13, 2015 |
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to Amend NYSE Rule 13 and Related Rules Governing Order Types and Modifiers
Comments due: August 7, 2015
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34-75048 |
May 27, 2015 |
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Amending NYSE Rule 13 and Related Rules Governing Order Types and Modifiers
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34-74678 |
Apr. 8, 2015 |
Notice of Filing of Proposed Rule Change Amending Rule 13 and Related Rules Governing Order Types and Modifiers
Comments due: May 5, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.
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SR-NYSE-2015-14 |
34-74649 |
Apr. 6, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 1000 to Reflect that Exchange Systems will Reject Incoming Orders of Over 1,000,000 Shares that are Marketable Upon Arrival
Comments due: May 1, 2015
Additional Materials: Exhibit 5
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SR-NYSE-2015-13 |
34-74640 |
Apr. 2, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Specify that a Member Organization May Request that The Exchange Aggregate its Eligible Activity with Activity of the Member Organization's Affiliates For Purposes of Charges or Credits Based on Volume
Comments due: April 29, 2015
Additional Materials: Exhibit 5
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SR-NYSE-2015-12 |
34-74570 |
Mar. 24, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 Relating to Pegging Interest
Comments due: April 20, 2015
Additional Materials: Exhibit 5
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SR-NYSE-2015-10 |
34-74454 |
Mar. 6, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period for the Exchange's Retail Liquidity Program Which is Currently Scheduled to Expire on March 31, 2015, until September 30, 2015
Comments due: April 2, 2015
Additional Materials: Exhibit 5
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SR-NYSE-2015-09 |
34-74410 |
Mar. 2, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Specifying in Exchange Rules the Exchange's Use of Certain Data Feeds for Order Handling and Execution, Order Routing, and Regulatory Compliance
Comments due: March 27, 2015
Additional Materials: Exhibit 5
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SR-NYSE-2015-08 |
34-74405 |
Mar. 2, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List
Comments due: March 27, 2015
Additional Materials: Exhibit 5
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SR-NYSE-2015-07 |
34-74287 |
Feb. 18, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 402.05 of the NYSE Listed Company Manual to Clarify that Listed Companies Soliciting Proxy Material Through Brokers or Other Entities Must Comply with SEC Rule 14a-13
Comments due: March 17, 2015
Additional Materials: Exhibit 5
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SR-NYSE-2015-06 |
34-75038 |
May 22, 2015 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Adopting New NYSE Rule 124 to Conduct a Midday Auction and Amending NYSE Rule 104 to Codify the Obligation of Designated Market Makers to Facilitate the Midday Auction Comments due: June 19, 2015
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34-74648 |
Apr. 6, 2015 |
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Adopting New Rule 124 to Conduct a Midday Auction and Amending Rule 104 to Codify the Obligation of Designated Market Makers to Facilitate the Midday Auction
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34-74281 |
Feb. 17, 2015 |
Notice of Filing of Proposed Rule Change Adopting New Rule 124 to Conduct a Midday Auction and Amending Rule 104 to Codify the Obligation of Designated Market Makers to Facilitate the Midday Auction
Comments due: March 16, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.
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SR-NYSE-2015-05 |
34-74222 |
Feb. 6, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Include Internet Protocol Network Connections and Fiber Cross Connects Between a User's Cabinet and Non-User's Equipment as Co-Location Services
Comments due: March 5, 2015
Additional Materials: Exhibit 5
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SR-NYSE-2015-04 |
34-74174 |
Jan. 29, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change with the Proposed Amendment of the Restated Certificate of Incorporation of Exchange Subsidiary NYSE Regulation, Inc.
Comments due: February 25, 2015
Additional Materials: Exhibit 5
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SR-NYSE-2015-03 |
34-74128 |
Jan. 23, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing the NYSE Integrated Feed Data Feed
Comments due: February 19, 2015
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SR-NYSE-2015-02 |
34-76814 |
Dec. 31, 2015 |
Notice of Filing of Amendment Nos. 1 and 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Amending Sections 312.03(b) and 312.04 of the NYSE Listed Company Manual to Exempt Early Stage Companies From Having to Obtain Shareholder Approval Before Issuing Shares for Cash to Related Parties, Affiliates of Related Parties or Entities In Which A Related Party Has A Substantial Interes
Comments due: January 28, 2016
Additional Materials: Exhibit 5
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34-76323 |
Oct. 30, 2015 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Change, as Modified by Amendment No. 1, Amending Sections 312.03(b) and 312.04 of the NYSE Listed Company Manual to Exempt Early Stage Companies From Having to Obtain Shareholder Approval Before Issuing Shares for Cash to Related Parties, Affiliates of Related Parties or Entities In Which A Related Party has A Substantial Interest
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34-75599 |
Aug. 4, 2015 |
Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Change Amending Sections 312.03(b) and 312.04 of the NYSE Listed Company Manual to Exempt Early Stage Companies From Having to Obtain Shareholder Approval Before Issuing Shares for Cash to Related Parties, Affiliates of Related Parties or Entities In Which A Related Party Has A Substantial Interest
Comments due: August 31, 2015
Rebuttal comments due: September 14, 2015
Comments received are available for this proposal.
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34-75248 |
Jun. 18, 2015 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Sections 312.03(b) and 312.04 of the NYSE Listed Company Manual to Exempt Early Stage Companies From Having to Obtain Shareholder Approval Before Issuing Shares for Cash to Related Parties, Affiliates of Related Parties or Entities In Which A Related Party has A Substantial Interest
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34-74849 |
Apr. 30, 2015 |
Notice of Filing of Proposed Rule Change Amending Sections 312.03(b) and 312.04 of the NYSE Listed Company Manual to Exempt Early Stage Companies From Having to Obtain Shareholder Approval Before Issuing Shares for Cash to Related Parties, Affiliates of Related Parties or Entities In Which A Related Party has A Substantial Interest
Comments due: May 27, 2015
Additional Materials: Exhibit 5
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SR-NYSE-2015-01 |
34-74063 |
Jan. 15, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a Price Protection Mechanism to Prevent the Automatic Execution of Incoming Market Orders and Marketable Limit Orders Outside a Specified Parameter and Eliminate Liquidity Replenishment Points and the Gap Quote Policy
Comments due: February 12, 2015
Additional Materials: Exhibit 5
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http://www.sec.gov/rules/sro/nyse/nysearchive/nysearchive2015.shtml
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