New York Stock Exchange Rulemaking: 2022
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New York Stock Exchange Rulemaking File Number List for 2022
Additional Archives
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Chronological List for 2022
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| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| SR-NYSE-2022-58 | ||
| 34-96591 | Dec. 29, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Permanent the Temporary Rule Relief in Rule 36.30
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSE-2022-56 | ||
| 34-96583 | Dec. 23, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List
Comments due: January 19, 2023 Additional Materials: Exhibit 5 |
| SR-NYSE-2022-57 | ||
| 34-96556 | Dec. 21, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase Certain Annual Listing Fee Set Forth in Section 902.03 of the NYSE Listed Company Manual
Comments due: January 18, 2023 Additional Materials: Exhibit 5 |
| SR-NYSE-2022-14 | ||
| 34-96514 | Dec. 15, 2022 | Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, to Modify Certain Pricing Limitations for Securities Listed on the Exchange Pursuant to a Primary Direct Floor Listing |
| SR-NYSE-2022-54 | ||
| 34-96408 | Nov. 30, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Listed Company Manual Section 302.00
Comments due: December 27, 2022 Additional Materials: Exhibit 5 |
| SR-NYSE-2022-52 | ||
| 34-96377 | Nov. 22, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 104
Comments due: December 20, 2022 Additional Materials: Exhibit 5 |
| SR-NYSE-2022-53 | ||
| 34-96361 | Nov. 18, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List
Comments due: December 16, 2022 Additional Materials: Exhibit 5 |
| SR-NYSE-2022-51 | ||
| 34-96321 | Nov. 15, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Initial and Annual Fees for Exchange Traded Products
Comments due: December 9, 2022 Additional Materials: Exhibit 5 |
| SR-NYSE-2022-14 | ||
| 34-96272 | Nov. 8, 2022 | Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, to Modify Certain Pricing Limitations for Securities Listed on the Exchange Pursuant to a Primary Direct Floor Listing
Comments due: December 6, 2022 Additional Materials: Exhibit 4, Exhibit 5 |
| SR-NYSE-2022-11 | ||
| 34-96263 | Nov. 8, 2022 | Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend the NYSE Listed Company Manual to Provide a Limited Exemption from the Shareholder Approval Requirements for Closed-End Management Investment Companies with Equity Securities Listed Under Section 102.04 of the Listed Company Manual |
| SR-NYSE-2022-50 | ||
| 34-96259 | Nov. 8, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 9261 and 9830
Comments due: December 6, 2022 |
| SR-NYSE-2022-48 | ||
| 34-96247 | Nov. 7, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete Legacy Disciplinary Rules 475, 476, 476A, and 477; Adopt New Rule 2050; and Make Conforming Changes to Rules 2A, 27, 36, 600A, 619, 637, 3170, 8001, 8130, 8320, 9001 and 9217
Comments due: December 5, 2022 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSE-2022-47 | ||
| 34-96112 | Oct. 20, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Rule 7.44
Comments due: November 16, 2022 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSE-2022-46 | ||
| 34-96084 | Oct. 14, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List
Comments due: November 10, 2022 Additional Materials: Exhibit 5 |
| SR-NYSE-2022-14 | ||
| 34-96023 | Oct. 11, 2022 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Modify Certain Pricing Limitations for Securities Listed on the Exchange Pursuant to a Primary Direct Floor Listing |
| SR-NYSE-2022-45 | ||
| 34-95968 | Oct. 4, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Connectivity Fee Schedule
Comments due: November 1, 2022 Additional Materials: Exhibit 5 |
| Third Quarter | ||
| SR-NYSE-2022-39 | ||
| 34-95930 | Sep. 27, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fee Provisions of the Listed Company Manual Applicable to Companies Listing Upon Emergence from Bankruptcy
Comments due: October 24, 2022 Additional Materials: Exhibit 5 |
| SR-NYSE-2022-44 | ||
| 34-95822 | Sep. 19, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.10
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSE-2022-43 | ||
| 34-95798 | Sep. 15, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List to Reflect the Fee for Directed Orders Routed by the Exchange to an Alternative Trading System
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSE-2022-41 | ||
| 34-95773 | Sep. 14, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSE-2022-42 | ||
| 34-95761 | Sep. 13, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSE-2022-11 | ||
| 34-95716 | Sep. 9, 2022 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Amend the NYSE Listed Company Manual to Provide a Limited Exemption from the Shareholder Approval Requirements for Closed-End Management Investment Companies with Equity Securities Listed Under Section 102.04 of the Listed Company Manual |
| SR-NYSE-2022-40 | ||
| 34-96700 | Sep. 7, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Transfer the Services and Fees Related to Colocation
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSE-2022-32 | ||
| 34-95691 | Sep. 7, 2022 | Order Approving a Proposed Rule Change to Amend NYSE Rule 7.35B Relating to the Closing Auction and Make Certain Conforming and Non-Substantive Changes to NYSE Rules 7.31, 7.35, 7.35B and 104 |
| SR-NYSE-2022-38 | ||
| 34-95613 | Aug. 26, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 902.05 of the NYSE Listed Company Manual to Establish a Cap on Listing Fees Billed When a Structured Product is Issued as a Dividend
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSE-2022-37 | ||
| 34-95498 | Aug. 12, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New Rule 7.39 and Delete Current Rules 900-907
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSE-2022-35 | ||
| 34-95473 | Aug. 11, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 9261 and 9830
Comments due: 21 days after publication in the Federal Register |
| SR-NYSE-2022-34 | ||
| 34-95466 | Aug. 10, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend and Update Rule 35
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSE-2022-36 | ||
| 34-95442 | Aug. 5, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the NYSE Equities Proprietary Market Data Fees to Adopt a Professional User Fee Cap and an Enterprise Fee for Broker-Dealer Subscribers of NYSE OpenBook
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSE-2022-20 | ||
| 34-95423 | Aug. 4, 2022 | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, to Add Subparagraph (f)(1) Regarding Directed Orders to NYSE Rule 7.31
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSE-2022-04 | ||
| 34-95378 | Jul. 27, 2022 | Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rules 5P, 5.2(j)(8)(e), 8P, and 98
Comments due: 21 days after publication in the Federal Register |
| SR-NYSE-2022-30 | ||
| 34-95358 | Jul. 25, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List Related to Colocation
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSE-2022-32 | ||
| 34-95354 | Jul. 22, 2022 | Notice of Filing of Proposed Rule Change to Amend Rule 7.35B Relating to the Closing Auction and Make Certain Conforming and Non-Substantive Changes to Rule 7.31, Rule 7.35, Rule 7.35B and Rule 104
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSE-2022-27 | ||
| 34-95337 | Jul. 20, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List Related to Colocation
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSE-2022-28 | ||
| 34-95334 | Jul. 20, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make a Non-Substantive Change to Rule 7.31(a)(2)(B) Regarding Limit Order Price Protection
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSE-2022-29 | ||
| 34-95313 | Jul. 19, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Temporary Period for Specified Commentaries to Rules 7.35A and 7.35C and Temporary Rule Relief in Rule 36.30
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSE-2022-14 | ||
| 34-95312 | Jul. 18, 2022 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Modify Certain Pricing Limitations for Securities Listed on the Exchange Pursuant to a Primary Direct Floor Listing
Comments due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register |
| SR-NYSE-2022-31 | ||
| 34-95301 | Jul. 18, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Rule 7.10 (Clearly Erroneous Executions)
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSE-2022-25 | ||
| 34-95209 | Jul. 7, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Rule 7.31
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSE-2021-67 | ||
| 34-95196 | Jul. 5, 2022 | Notice of Withdrawal of Proposed Rule Changes to Amend their Respective Fee Schedules to Offer Colocation Users Wireless Connectivity to CME Group Data and Establish Associated Fees
Additional File Nos.: SR-NYSEAMER-2021-43, SR-NYSEArca-2021-97, SR-NYSECHX-2021-17, SR-NYSENAT-2021-23 |
| Second Quarter | ||
| SR-NYSE-2022-24 | ||
| 34-95134 | Jun. 21, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Certificate of Incorporation and Bylaws of Its Ultimate Parent Company, Intercontinental Exchange, Inc.
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSE-2022-20 | ||
| 34-95118 | Jun. 16, 2022 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Modify Rule 7.31 to Add Subparagraph (f)(1) Regarding Directed Orders |
| SR-NYSE-2022-11 | ||
| 34-95093 | Jun. 13, 2022 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Amend the NYSE Listed Company Manual to Provide a Limited Exemption from the Shareholder Approval Requirements for Closed-End Management Investment Companies with Equity Securities Listed Under Section 102.04 of the Listed Company Manual
Comments due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register |
| SR-NYSE-2021-74 | ||
| 34-95086 | Jun. 10, 2022 | Order Granting Approval of a Proposed Rule Change to Amend the Provisions of NYSE Rule 7.35B |
| SR-NYSE-2022-23 | ||
| 34-95061 | Jun. 7, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change for Amendments to the Exchange's Rules Regarding Continuing Education Requirements
Comments due: 21 days after publication in the Federal Register |
| SR-NYSE-2022-14 | ||
| 34-94991 | May 26, 2022 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Modify Certain Pricing Limitations for Securities Listed on the Exchange Pursuant To a Primary Direct Floor Listing |
| SR-NYSE-2022-22 | ||
| 34-94933 | May 17, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSE-2021-67 | ||
| 34-94899 | May 12, 2022 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Offer Wireless Connectivity to CME Group Data and Establish Associated Fees
Additional File Nos.: SR-NYSEAMER-2021-43, SR-NYSEArca-2021-97, SR-NYSECHX-2021-17, SR-NYSENAT-2021-23 |
| SR-NYSE-2022-20 | ||
| 34-94839 | May 3, 2022 | Notice of Filing of Proposed Rule Change to Modify Rule 7.31 to Add Subparagraph (f)(1) Regarding Directed Orders
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSE-2021-44 | ||
| 34-94835 | May 3, 2022 | Notice of Withdrawal of Proposed Rule Change to Amend NYSE Rules 7.31, 7.35, 7.35B, 7.35C, 98, and 104 Relating to the Closing Auction |
| SR-NYSE-2022-04 | ||
| 34-94814 | Apr. 28, 2022 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend Rules 5P, 5.2(j)(8)(e), 8P, and 98
Comments due: May 25, 2022 Rebuttal comments due: June 8, 2022 Comments received are available for this proposal. |
| SR-NYSE-2021-45 | ||
| 34-94810 | Apr. 28, 2022 | Notice of Withdrawal of Proposed Rule Change, as Modified by Amendment No. 2, to Adopt Listing Standards for Subscription Warrants Issued by a Company Organized Solely for the Purpose of Identifying an Acquisition Target |
| SR-NYSE-2022-11 | ||
| 34-94795 | Apr. 26, 2022 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, to Amend the NYSE Listed Company Manual to Provide a Limited Exemption from the Shareholder Approval Requirements for Closed-End Management Investment Companies with Equity Securities Listed Under Section 102.04 of the Listed Company Manual |
| SR-NYSE-2022-14 | ||
| 34-94708 | Apr. 13, 2022 | Notice of Filing of Proposed Rule Change to Modify Certain Pricing Limitations for Securities Listed on the Exchange Pursuant to a Primary Direct Floor Listing
Comments due: May 10, 2022 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSE-2022-17 | ||
| 34-94666 | Apr. 11, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 9261 and 9830
Comments due: May 6, 2022 |
| SR-NYSE-2022-19 | ||
| 34-94642 | Apr. 7, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Rule 7.10
Comments due: May 4, 2022 Additional Materials: Exhibit 5 |
| SR-NYSE-2022-18 | ||
| 34-94585 | Apr. 1, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Temporary Period for Specified Commentaries to Rules 7.35A and 7.35C and Temporary Rule Relief in Rule 36.30
Comments due: April 28, 2022 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| First Quarter | ||
| SR-NYSE-2022-15 | ||
| 34-94558 | Mar. 30, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NYSE Rule 6A
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSE-2022-16 | ||
| 34-94543 | Mar. 29, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSE-2021-42 | ||
| 34-94516 | Mar. 24, 2022 | Notice of Withdrawal of Proposed Rule Change to Amend the Requirements of Section 102.06 of the NYSE Listed Company Manual to Allow an Acquisition Company to Contribute a Portion of Its Trust Account to a New Acquisition Company and Spin-off the New Acquisition Company to Its Shareholders |
| SR-NYSE-2021-74 | ||
| 34-94483 | Mar. 22, 2022 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend the Provisions of NYSE Rule 7.35B
Comments due: April 18, 2022 Rebuttal comments due: May 2, 2022 Comments received are available for this proposal. |
| SR-NYSE-2022-13 | ||
| 34-94467 | Mar. 18, 2022 | Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change for Certain Amendments to the Preamble to Rule 9217
Comments due: April 14, 2022 Additional Materials: Exhibit 5 |
| SR-NYSE-2021-44 | ||
| 34-94457 | Mar. 17, 2022 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend Rules 7.31, 7.35, 7.35B, 7.35C, 98, and 104 Relating to the Closing Auction |
| SR-NYSE-2021-40 | ||
| 34-94441 | Mar. 16, 2022 | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 to Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers in Rule 7.12
Comments due: April 12, 2022 |
| SR-NYSE-2022-04 | ||
| 34-94392 | Mar. 9, 2022 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Rules 5P, 5.2(j)(8)(e), 8P, and 98 |
| SR-NYSE-2022-11 | ||
| 34-94388 | Mar. 9, 2022 | Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Amend the NYSE Listed Company Manual to Provide a Limited Exemption from the Shareholder Approval Requirements for Closed-End Management Investment Companies with Equity Securities Listed Under Section 102.04 of the Listed Company Manual
Comments due: April 5, 2022 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSE-2022-12 | ||
| 34-94378 | Mar. 8, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Sections 902.03 and 902.11 of the NYSE Listed Company Manual to Establish Fees for the Listing of Rights
Comments due: April 4, 2022 Additional Materials: Exhibit 5 |
| SR-NYSE-2021-45 | ||
| 34-94363 | Mar. 4, 2022 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, to Adopt Listing Standards for Subscription Warrants Issued by a Company Organized Solely for the Purpose of Identifying an Acquisition Target |
| SR-NYSE-2021-42 | ||
| 34-94362 | Mar. 4, 2022 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend the Requirements of Section 102.06 of the NYSE Listed Company Manual to Allow an Acquisition Company to Contribute a Portion of Its Trust Account to a New Acquisition Company and Spin-off the New Acquisition Company to Its Shareholders |
| SR-NYSE-2021-45 | ||
| 34-94349 | Mar. 2, 2022 | Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, to Adopt Listing Standards for Subscription Warrants Issued by a Company Organized Solely for the Purpose of Identifying an Acquisition Target
Comments due: March 29, 2022 Additional Materials: Exhibit 5 |
| SR-NYSE-2022-09 | ||
| 34-94297 | Feb. 22, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1 to Replace References to Employees and Officers of Intercontinental Exchange Group, Inc.
Comments due: March 21, 2022 Additional Materials: Exhibit 5 |
| SR-NYSE-2022-07 | ||
| 34-94223 | Feb. 10, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List
Comments due: March 9, 2022 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSE-2021-68 | ||
| 34-94222 | Feb. 10, 2022 | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, to Revise the Suite of Complimentary Products and Services Offered to Listed Companies
Comments due: March 9, 2022 |
| SR-NYSE-2021-73 | ||
| 34-94217 | Feb. 10, 2022 | Order Approving a Proposed Rule Change to Amend NYSE Rule 37 to Incorporate Standards of Conduct for the Exchange's Trading Floor |
| SR-NYSE-2021-74 | ||
| 34-94181 | Feb. 8, 2022 | Self-Regulatory Organizations; New York Stock Exchange LLC, Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend the Provisions of Rule 7.35B |
| SR-NYSE-2022-03 | ||
| 34-94075 | Jan. 27, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Listing Standard for Rights
Comments due: February 23, 2022 Additional Materials: Exhibit 5 |
| SR-NYSE-2022-04 | ||
| 34-94053 | Jan. 25, 2022 | Notice of Filing of Proposed Rule Change to Amend Rules 5P, 5.2(j)(8)(e), 8P, and 98
Comments due: February 22, 2022 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSE-2022-02 | ||
| 34-94047 | Jan. 25, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change of Non-Substantive Conforming Changes to Rule 9120
Comments due: February 22, 2022 Additional Materials: Exhibit 5 |
| SR-NYSE-2022-05 | ||
| 34-94030 | Jan. 24, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Rule 7.31 to Provide for Inside Limit Orders and Make Other Conforming Changes
Comments due: February 18, 2022 Additional Materials: Exhibit 5 |
| SR-NYSE-2022-01 | ||
| 34-93992 | Jan. 18, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List to Extend a Waiver of New Firm Application Fees for Certain Applications and of Bond Trading License Fees
Comments due: February 14, 2022 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSE-2020-96 | ||
| 34-93934 | Jan 7, 2022 | Order Granting Petition for Review and Scheduling Filing of Statements Regarding an Order Disapproving Proposed Rule Change to Amend its Rules Establishing Maximum Fee Rates to be Charged by Member Organizations for Forwarding Proxy and Other Materials to Beneficial Owners
Comments received are available for this proposal. |
| SR-NYSE-2021-40 | ||
| 34-93933 | Jan. 7, 2022 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers in Rule 7.12 |
| SR-NYSE-2021-78 | ||
| 34-93920 | Jan. 6, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 9261 and 9830
Comments due: February 2, 2022 |
| SR-NYSE-2021-77 | ||
| 34-93904 | Jan. 5, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List with Respect to a Regulatory Fee Related to the Central Registration Depository
Comments due: February 1, 2022 |
File Number List for 2022
| Release No. | Date | Details |
|---|---|---|
| SR-NYSE-2022-58 | ||
| 34-96591 | Dec. 29, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Permanent the Temporary Rule Relief in Rule 36.30
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSE-2022-57 | ||
| 34-96556 | Dec. 21, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase Certain Annual Listing Fee Set Forth in Section 902.03 of the NYSE Listed Company Manual
Comments due: January 18, 2023 Additional Materials: Exhibit 5 |
| SR-NYSE-2022-56 | ||
| 34-96583 | Dec. 23, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List
Comments due: January 19, 2023 Additional Materials: Exhibit 5 |
| SR-NYSE-2022-54 | ||
| 34-96408 | Nov. 30, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Listed Company Manual Section 302.00
Comments due: December 27, 2022 Additional Materials: Exhibit 5 |
| SR-NYSE-2022-53 | ||
| 34-96361 | Nov. 18, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List
Comments due: December 16, 2022 Additional Materials: Exhibit 5 |
| SR-NYSE-2022-52 | ||
| 34-96377 | Nov. 22, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 104
Comments due: December 20, 2022 Additional Materials: Exhibit 5 |
| SR-NYSE-2022-51 | ||
| 34-96321 | Nov. 15, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Initial and Annual Fees for Exchange Traded Products
Comments due: December 9, 2022 Additional Materials: Exhibit 5 |
| SR-NYSE-2022-50 | ||
| 34-96259 | Nov. 8, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 9261 and 9830
Comments due: December 6, 2022 |
| SR-NYSE-2022-48 | ||
| 34-96247 | Nov. 7, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete Legacy Disciplinary Rules 475, 476, 476A, and 477; Adopt New Rule 2050; and Make Conforming Changes to Rules 2A, 27, 36, 600A, 619, 637, 3170, 8001, 8130, 8320, 9001 and 9217
Comments due: December 5, 2022 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSE-2022-47 | ||
| 34-96112 | Oct. 20, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Rule 7.44
Comments due: November 16, 2022 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSE-2022-46 | ||
| 34-96084 | Oct. 14, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List
Comments due: November 10, 2022 Additional Materials: Exhibit 5 |
| SR-NYSE-2022-45 | ||
| 34-95968 | Oct. 4, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Connectivity Fee Schedule
Comments due: November 1, 2022 Additional Materials: Exhibit 5 |
| SR-NYSE-2022-44 | ||
| 34-95822 | Sep. 19, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.10
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSE-2022-43 | ||
| 34-95798 | Sep. 15, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List to Reflect the Fee for Directed Orders Routed by the Exchange to an Alternative Trading System
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSE-2022-42 | ||
| 34-95761 | Sep. 13, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSE-2022-41 | ||
| 34-95773 | Sep. 14, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSE-2022-40 | ||
| 34-96700 | Sep. 7, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Transfer the Services and Fees Related to Colocation
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSE-2022-39 | ||
| 34-95930 | Sep. 27, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fee Provisions of the Listed Company Manual Applicable to Companies Listing Upon Emergence from Bankruptcy
Comments due: October 24, 2022 Additional Materials: Exhibit 5 |
| SR-NYSE-2022-38 | ||
| 34-95613 | Aug. 26, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 902.05 of the NYSE Listed Company Manual to Establish a Cap on Listing Fees Billed When a Structured Product is Issued as a Dividend
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSE-2022-37 | ||
| 34-95498 | Aug. 12, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New Rule 7.39 and Delete Current Rules 900-907
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSE-2022-36 | ||
| 34-95442 | Aug. 5, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the NYSE Equities Proprietary Market Data Fees to Adopt a Professional User Fee Cap and an Enterprise Fee for Broker-Dealer Subscribers of NYSE OpenBook
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSE-2022-35 | ||
| 34-95473 | Aug. 11, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 9261 and 9830
Comments due: 21 days after publication in the Federal Register |
| SR-NYSE-2022-34 | ||
| 34-95466 | Aug. 10, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend and Update Rule 35
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSE-2022-32 | ||
| 34-95691 | Sep. 7, 2022 | Order Approving a Proposed Rule Change to Amend NYSE Rule 7.35B Relating to the Closing Auction and Make Certain Conforming and Non-Substantive Changes to NYSE Rules 7.31, 7.35, 7.35B and 104 |
| 34-95354 | Jul. 22, 2022 | Notice of Filing of Proposed Rule Change to Amend Rule 7.35B Relating to the Closing Auction and Make Certain Conforming and Non-Substantive Changes to Rule 7.31, Rule 7.35, Rule 7.35B and Rule 104
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSE-2022-31 | ||
| 34-95301 | Jul. 18, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Rule 7.10 (Clearly Erroneous Executions)
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSE-2022-30 | ||
| 34-95358 | Jul. 25, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List Related to Colocation
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSE-2022-29 | ||
| 34-95313 | Jul. 19, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Temporary Period for Specified Commentaries to Rules 7.35A and 7.35C and Temporary Rule Relief in Rule 36.30
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSE-2022-28 | ||
| 34-95334 | Jul. 20, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make a Non-Substantive Change to Rule 7.31(a)(2)(B) Regarding Limit Order Price Protection
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSE-2022-27 | ||
| 34-95337 | Jul. 20, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List Related to Colocation
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSE-2022-25 | ||
| 34-95209 | Jul. 7, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Rule 7.31
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSE-2022-24 | ||
| 34-95134 | Jun. 21, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Certificate of Incorporation and Bylaws of Its Ultimate Parent Company, Intercontinental Exchange, Inc.
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSE-2022-23 | ||
| 34-95061 | Jun. 7, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change for Amendments to the Exchange's Rules Regarding Continuing Education Requirements
Comments due: 21 days after publication in the Federal Register |
| SR-NYSE-2022-22 | ||
| 34-94933 | May 17, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSE-2022-20 | ||
| 34-95423 | Aug. 4, 2022 | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, to Add Subparagraph (f)(1) Regarding Directed Orders to NYSE Rule 7.31
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| 34-94839 | May 3, 2022 | Notice of Filing of Proposed Rule Change to Modify Rule 7.31 to Add Subparagraph (f)(1) Regarding Directed Orders
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSE-2022-19 | ||
| 34-94642 | Apr. 7, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Rule 7.10
Comments due: May 4, 2022 Additional Materials: Exhibit 5 |
| SR-NYSE-2022-18 | ||
| 34-95118 | Jun. 16, 2022 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Modify Rule 7.31 to Add Subparagraph (f)(1) Regarding Directed Orders |
| 34-94585 | Apr. 1, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Temporary Period for Specified Commentaries to Rules 7.35A and 7.35C and Temporary Rule Relief in Rule 36.30
Comments due: April 28, 2022 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSE-2022-17 | ||
| 34-94666 | Apr. 11, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 9261 and 9830
Comments due: May 6, 2022 |
| SR-NYSE-2022-16 | ||
| 34-94543 | Mar. 29, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSE-2022-15 | ||
| 34-94558 | Mar. 30, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NYSE Rule 6A
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSE-2022-14 | ||
| 34-96514 | Dec. 15, 2022 | Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, to Modify Certain Pricing Limitations for Securities Listed on the Exchange Pursuant to a Primary Direct Floor Listing |
| 34-96272 | Nov. 8, 2022 | Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, to Modify Certain Pricing Limitations for Securities Listed on the Exchange Pursuant to a Primary Direct Floor Listing
Comments due: December 6, 2022 Additional Materials: Exhibit 4, Exhibit 5 |
| 34-96023 | Oct. 11, 2022 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Modify Certain Pricing Limitations for Securities Listed on the Exchange Pursuant to a Primary Direct Floor Listing |
| 34-95312 | Jul. 18, 2022 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Modify Certain Pricing Limitations for Securities Listed on the Exchange Pursuant to a Primary Direct Floor Listing
Comments due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register |
| 34-94991 | May 26, 2022 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Modify Certain Pricing Limitations for Securities Listed on the Exchange Pursuant To a Primary Direct Floor Listing |
| 34-94708 | Apr. 13, 2022 | Notice of Filing of Proposed Rule Change to Modify Certain Pricing Limitations for Securities Listed on the Exchange Pursuant to a Primary Direct Floor Listing
Comments due: May 10, 2022 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSE-2022-13 | ||
| 34-94467 | Mar. 18, 2022 | Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change for Certain Amendments to the Preamble to Rule 9217
Comments due: April 14, 2022 Additional Materials: Exhibit 5 |
| SR-NYSE-2022-12 | ||
| 34-94378 | Mar. 8, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Sections 902.03 and 902.11 of the NYSE Listed Company Manual to Establish Fees for the Listing of Rights
Comments due: April 4, 2022 Additional Materials: Exhibit 5 |
| SR-NYSE-2022-11 | ||
| 34-96263 | Nov. 8, 2022 | Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend the NYSE Listed Company Manual to Provide a Limited Exemption from the Shareholder Approval Requirements for Closed-End Management Investment Companies with Equity Securities Listed Under Section 102.04 of the Listed Company Manual |
| 34-95716 | Sep. 9, 2022 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Amend the NYSE Listed Company Manual to Provide a Limited Exemption from the Shareholder Approval Requirements for Closed-End Management Investment Companies with Equity Securities Listed Under Section 102.04 of the Listed Company Manual |
| 34-95093 | Jun. 13, 2022 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Amend the NYSE Listed Company Manual to Provide a Limited Exemption from the Shareholder Approval Requirements for Closed-End Management Investment Companies with Equity Securities Listed Under Section 102.04 of the Listed Company Manual
Comments due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register |
| 34-94795 | Apr. 26, 2022 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, to Amend the NYSE Listed Company Manual to Provide a Limited Exemption from the Shareholder Approval Requirements for Closed-End Management Investment Companies with Equity Securities Listed Under Section 102.04 of the Listed Company Manual |
| 34-94388 | Mar. 9, 2022 | Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Amend the NYSE Listed Company Manual to Provide a Limited Exemption from the Shareholder Approval Requirements for Closed-End Management Investment Companies with Equity Securities Listed Under Section 102.04 of the Listed Company Manual
Comments due: April 5, 2022 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSE-2022-09 | ||
| 34-94297 | Feb. 22, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1 to Replace References to Employees and Officers of Intercontinental Exchange Group, Inc.
Comments due: March 21, 2022 Additional Materials: Exhibit 5 |
| SR-NYSE-2022-07 | ||
| 34-94223 | Feb. 10, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List
Comments due: March 9, 2022 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSE-2022-05 | ||
| 34-94030 | Jan. 24, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Rule 7.31 to Provide for Inside Limit Orders and Make Other Conforming Changes
Comments due: February 18, 2022 Additional Materials: Exhibit 5 |
| SR-NYSE-2022-04 | ||
| 34-95378 | Jul. 27, 2022 | Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rules 5P, 5.2(j)(8)(e), 8P, and 98
Comments due: 21 days after publication in the Federal Register |
| 34-94814 | Apr. 28, 2022 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend Rules 5P, 5.2(j)(8)(e), 8P, and 98
Comments due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register Comments received are available for this proposal. |
| 34-94392 | Mar. 9, 2022 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Rules 5P, 5.2(j)(8)(e), 8P, and 98 |
| 34-94053 | Jan. 25, 2022 | Notice of Filing of Proposed Rule Change to Amend Rules 5P, 5.2(j)(8)(e), 8P, and 98
Comments due: February 22, 2022 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSE-2022-03 | ||
| 34-94075 | Jan. 27, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Listing Standard for Rights
Comments due: February 23, 2022 Additional Materials: Exhibit 5 |
| SR-NYSE-2022-02 | ||
| 34-94047 | Jan. 25, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change of Non-Substantive Conforming Changes to Rule 9120
Comments due: February 22, 2022 Additional Materials: Exhibit 5 |
| SR-NYSE-2022-01 | ||
| 34-93992 | Jan. 18, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List to Extend a Waiver of New Firm Application Fees for Certain Applications and of Bond Trading License Fees
Comments due: February 14, 2022 Additional Materials: Exhibit 5 Comments received are available for this proposal. |