NYSE American LLC Rulemaking

NYSE MKT LLC (NYSEMKT) has changed its name to NYSE American, LLC (NYSEAMER). All filings by NYSE American LLC will be posted to this page. Filings filed with "NYSEMKT" as part of the file number will be posted on the NYSE MKT page.

We encourage the public to submit comments on the following NYSE American LLC 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 American File Number List for 2017


Chronological List for 2017

Release No. Date Details
Fourth Quarter
SR-NYSEAMER-2017-31
34-82095 Nov. 16, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 903 (Series of Options Open for Trading)
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSEAMER-2017-29
34-82082 Nov. 15, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Governing Documents of Its Intermediate Parent Companies Intercontinental Exchange Holdings, Inc., NYSE Holdings LLC and NYSE Group, Inc. to Make Them More Consistent with the Governing Documents of Their Ultimate Parent Intercontinental Exchange, Inc.
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5a, Exhibit 5b, Exhibit 5c, Exhibit 5d, Exhibit 5e, Exhibit 5f
SR-NYSEAMER-2017-15
34-82027 Nov. 7, 2017 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend NYSE American Rule 980NY to Clarify the Priority of Electronic Complex Orders and to Modify Aspects of the Complex Order Auction Process
Comments due: 21 days after publication in the Federal Register
See also: Notice: Rel. No. 34-81676
SR-NYSEAMER-2017-28
34-82021 Nov. 6, 2017 Notice of Filing and Immediate Effectiveness of Proposed Change to Amend the NYSE American Equities Price List and the NYSE American Options Fee Schedule Relating to Co-location Services to Reflect the Name Change of a Third Party Data Feed
Comments due: 21 days after publication in the Federal Register
SR-NYSEAMER-2017-27
34-81996 Nov. 1, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Annual Listing Fees for Common Stocks and Warrants
Comments due: November 28, 2017
Additional Materials: Exhibit 5
SR-NYSEAMER-2017-30
34-81968 Oct. 27, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 7.10E to Exclude Trading Halt Auctions From Being Reviewed as Clearly Erroneous, Rule 7.11E to Conform to the Limit Up-Limit Down NMS Plan, Rule 7.31E to Add a New Imbalance Only Order, and Rule 7.35E to Enhance the Information Available Before an Auction and Revise Procedures for Trading Halt Auctions
Comments due: November 24, 2017
Additional Materials: Exhibit 5
SR-NYSEAMER-2017-25
34-81943 Oct. 25, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NYSE American Equities Rules 7.31E to Establish a Minimum Dollar Threshold into the Price Protection Mechanisms
Comments due: November 21, 2017
Additional Materials: Exhibit 5
SR-NYSEAMER-2017-23
34-81928 Oct. 24, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Rule 964.2NY Regarding the Participation Entitlement Formula for Specialists and e-Specialists
Comments due: November 20, 2017
Additional Materials: Exhibit 5
SR-NYSEAMER-2017-24
34-81927 Oct. 24, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Users with Access to Five Additional Third Party Systems and Connectivity to Two Additional Third Party Data Feeds
Comments due: November 20, 2017
Additional Materials: Exhibit 5
SR-NYSEAMER-2017-21
34-81887 Oct. 17, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 964NY to Adopt Additional Self-Trade Prevention Modifiers
Comments due: November 13, 2017
Additional Materials: Exhibit 5
SR-NYSEAMER-2017-22
34-81828 Oct. 5, 2017 Notice of Filing and Immediate Effectiveness of Proposed Change to Modify the NYSE American Options Fee Schedule
Comments due: November 2, 2017
Additional Materials: Exhibit 5
Third Quarter
SR-NYSEAMER-2017-05
34-81783 Sep. 29, 2017 Order Approving Proposed Rule Change to Amend the Complimentary Products and Services Available to Certain Eligible New Listings Pursuant to Section 146 of the NYSE American Company Guide
See also: Notice: Rel. No. 34-81470
SR-NYSEAMER-2017-19
34-81755 Sep. 28, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NYSE American Rule 5.2E (j)(6)
Comments due: October 25, 2017
Additional Materials: Exhibit 5
SR-NYSEAMER-2017-10
34-81716 Sep. 25, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 928NY to Allow Certain Order Types to Be Excluded from the Risk Limitation Mechanism
Comments due: October 20, 2017
Additional Materials: Exhibit 5
SR-NYSEAMER-2017-15
34-81676 Sep. 21, 2017 Notice of Filing of Proposed Rule Change Amending Rule 980NY (Electronic Complex Order Trading) to Clarify the Priority of Electronic Complex Orders and to Modify Aspects of Its Complex Order Auction Process
Comments due: October 18, 2017
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-82027
Comments received are available for this proposal.
SR-NYSEAMER-2017-17
34-81672 Sep. 21, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.31E Relating to the Minimum Trade Size Modifier for Additional Order Types and Expanding the Minimum Trade Size Modifier for Existing Order Types
Comments due: October 18, 2017
Additional Materials: Exhibit 5
SR-NYSEAMER-2017-18
34-81670 Sep. 21, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update and Amend its Options Rules, as described herein, To Reduce Unnecessary Complexity and to Promote Standardization and Clarity
Comments due: October 18, 2017
Additional Materials: Exhibit 5
SR-NYSEAMER-2017-14
34-81651 Sep. 19, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules to Make Technical and Conforming Updates, in Connection With the Merger of NYSE Arca Equities, Inc. With and Into the Exchange's Affiliate NYSE Arca, Inc. and the Name Change of NYSE National, Inc.
Comments due: October 16, 2017
Additional Materials: Exhibit 5
SR-NYSEAMER-2017-12
34-81582 Sep. 12, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 975NY and Rule 953NY
Comments due: October 10, 2017
Additional Materials: Exhibit 5
SR-NYSEAMER-2017-13
34-81569 Sep. 11, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the NYSE American Options Fee Schedule
Comments due: October 6, 2017
Additional Materials: Exhibit 5
SR-NYSEAMER-2017-08
34-81549 Sep. 7, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the NYSE American Options Fee Schedule
Comments due: October 4, 2017
Additional Materials: Exhibit 5
SR-NYSEAMER-2017-11
34-81547 Sep. 7, 2017 Notice of Filing and Immediate Effectiveness of Proposed Change to Amend its Price List
Comments due: October 4, 2017
Additional Materials: Exhibit 5
SR-NYSEAMER-2017-07
34-81537 Sep. 6, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Commentary .06 to Rule 980NY to Enhance the Price Protections for Complex Orders Executed on the Exchange
Comments due: October 3, 2017
Additional Materials: Exhibit 5
SR-NYSEAMER-2017-05
34-81470 Aug. 23, 2017 Notice of Filing of Proposed Rule Change to Amend the Complimentary Products and Services Available to Certain Eligible New Listings Pursuant to Section 146 of the NYSE American Company Guide
Comments due: September 19, 2017
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-81783
SR-NYSEAMER-2017-06
34-81418 Aug. 17, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add Certain Rules Adopted in Connection with the Exchange's Transition to a Fully-Automated Cash Equities Market to the List of Minor Rule Violations in Rule 9217 of the Office Rules
Comments due: September 13, 2017
Additional Materials: Exhibit 5
SR-NYSEAMER-2017-04
34-81408 Aug. 16, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE American Options Fee Schedule
Comments due: September 12, 2017
Additional Materials: Exhibit 5
SR-NYSEAMER-2017-02
34-81337 Aug. 8, 2017 Notice of Filing and Immediate Effectiveness of Proposed Change in Connection with Its Recent Name Change from NYSE MKT LLC to NYSE American LLC and the Related Rebranding of NYSE Amex Options to NYSE American Options
Comments due: September 5, 2017
Additional Materials: Exhibit 5a-5b
SR-NYSEAMER-2017-03
34-81340 Aug. 8, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Supplementary Material .01 and .02 to NYSE American Rule 5.2E(j)(3) to Provide for the Inclusion of Cash in an Index Underlying a Series of Investment Company Units
Comments due: September 5, 2017
Additional Materials: Exhibit 5
SR-NYSEAMER-2017-01
34-81232 Jul. 27, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change in Connection with the September 5, 2017 Compliance Date for the Shortening of the Standard Settlement Cycle from Three Business Days After the Trade Date to Two Business Days After the Trade Date
Comments due: August 23, 2017
Additional Materials: Exhibit 5

NYSE American File Number List for 2017

Release No. Date Details
SR-NYSEAMER-2017-31
34-82095 Nov. 16, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 903 (Series of Options Open for Trading)
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSEAMER-2017-30
34-81968 Oct. 27, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 7.10E to Exclude Trading Halt Auctions From Being Reviewed as Clearly Erroneous, Rule 7.11E to Conform to the Limit Up-Limit Down NMS Plan, Rule 7.31E to Add a New Imbalance Only Order, and Rule 7.35E to Enhance the Information Available Before an Auction and Revise Procedures for Trading Halt Auctions
Comments due: November 24, 2017
Additional Materials: Exhibit 5
SR-NYSEAMER-2017-29
34-82082 Nov. 15, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Governing Documents of Its Intermediate Parent Companies Intercontinental Exchange Holdings, Inc., NYSE Holdings LLC and NYSE Group, Inc. to Make Them More Consistent with the Governing Documents of Their Ultimate Parent Intercontinental Exchange, Inc.
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5a, Exhibit 5b, Exhibit 5c, Exhibit 5d, Exhibit 5e, Exhibit 5f
SR-NYSEAMER-2017-28
34-82021 Nov. 6, 2017 Notice of Filing and Immediate Effectiveness of Proposed Change to Amend the NYSE American Equities Price List and the NYSE American Options Fee Schedule Relating to Co-location Services to Reflect the Name Change of a Third Party Data Feed
Comments due: 21 days after publication in the Federal Register
SR-NYSEAMER-2017-27
34-81996 Nov. 1, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Annual Listing Fees for Common Stocks and Warrants
Comments due: November 28, 2017
Additional Materials: Exhibit 5
SR-NYSEAMER-2017-25
34-81943 Oct. 25, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NYSE American Equities Rules 7.31E to Establish a Minimum Dollar Threshold into the Price Protection Mechanisms
Comments due: November 21, 2017
Additional Materials: Exhibit 5
SR-NYSEAMER-2017-24
34-81927 Oct. 24, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Users with Access to Five Additional Third Party Systems and Connectivity to Two Additional Third Party Data Feeds
Comments due: November 20, 2017
Additional Materials: Exhibit 5
SR-NYSEAMER-2017-23
34-81928 Oct. 24, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Rule 964.2NY Regarding the Participation Entitlement Formula for Specialists and e-Specialists
Comments due: November 20, 2017
Additional Materials: Exhibit 5
SR-NYSEAMER-2017-22
34-81828 Oct. 5, 2017 Notice of Filing and Immediate Effectiveness of Proposed Change to Modify the NYSE American Options Fee Schedule
Comments due: November 2, 2017
Additional Materials: Exhibit 5
SR-NYSEAMER-2017-21
34-81887 Oct. 17, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 964NY to Adopt Additional Self-Trade Prevention Modifiers
Comments due: November 13, 2017
Additional Materials: Exhibit 5
SR-NYSEAMER-2017-19
34-81755 Sep. 28, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NYSE American Rule 5.2E (j)(6)
Comments due: October 25, 2017
Additional Materials: Exhibit 5
SR-NYSEAMER-2017-18
34-81670 Sep. 21, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update and Amend its Options Rules, as described herein, To Reduce Unnecessary Complexity and to Promote Standardization and Clarity
Comments due: October 18, 2017
Additional Materials: Exhibit 5
SR-NYSEAMER-2017-17
34-81672 Sep. 21, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.31E Relating to the Minimum Trade Size Modifier for Additional Order Types and Expanding the Minimum Trade Size Modifier for Existing Order Types
Comments due: October 18, 2017
Additional Materials: Exhibit 5
SR-NYSEAMER-2017-15
34-82027 Nov. 7, 2017 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend NYSE American Rule 980NY to Clarify the Priority of Electronic Complex Orders and to Modify Aspects of the Complex Order Auction Process
Comments due: 21 days after publication in the Federal Register
34-81676 Sep. 21, 2017 Notice of Filing of Proposed Rule Change Amending Rule 980NY (Electronic Complex Order Trading) to Clarify the Priority of Electronic Complex Orders and to Modify Aspects of Its Complex Order Auction Process
Comments due: October 18, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSEAMER-2017-14
34-81651 Sep. 19, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules to Make Technical and Conforming Updates, in Connection With the Merger of NYSE Arca Equities, Inc. With and Into the Exchange's Affiliate NYSE Arca, Inc. and the Name Change of NYSE National, Inc.
Comments due: October 16, 2017
Additional Materials: Exhibit 5
SR-NYSEAMER-2017-13
34-81569 Sep. 11, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the NYSE American Options Fee Schedule
Comments due: October 6, 2017
Additional Materials: Exhibit 5
SR-NYSEAMER-2017-12
34-81582 Sep. 12, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 975NY and Rule 953NY
Comments due: October 10, 2017
Additional Materials: Exhibit 5
SR-NYSEAMER-2017-11
34-81547 Sep. 7, 2017 Notice of Filing and Immediate Effectiveness of Proposed Change to Amend its Price List
Comments due: October 4, 2017
Additional Materials: Exhibit 5
SR-NYSEAMER-2017-10
34-81716 Sep. 25, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 928NY to Allow Certain Order Types to Be Excluded from the Risk Limitation Mechanism
Comments due: October 20, 2017
Additional Materials: Exhibit 5
SR-NYSEAMER-2017-08
34-81549 Sep. 7, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the NYSE American Options Fee Schedule
Comments due: October 4, 2017
Additional Materials: Exhibit 5
SR-NYSEAMER-2017-07
34-81537 Sep. 6, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Commentary .06 to Rule 980NY to Enhance the Price Protections for Complex Orders Executed on the Exchange
Comments due: October 3, 2017
Additional Materials: Exhibit 5
SR-NYSEAMER-2017-06
34-81418 Aug. 17, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add Certain Rules Adopted in Connection with the Exchange's Transition to a Fully-Automated Cash Equities Market to the List of Minor Rule Violations in Rule 9217 of the Office Rules
Comments due: September 13, 2017
Additional Materials: Exhibit 5
SR-NYSEAMER-2017-05
34-81783 Sep. 29, 2017 Order Approving Proposed Rule Change to Amend the Complimentary Products and Services Available to Certain Eligible New Listings Pursuant to Section 146 of the NYSE American Company Guide
34-81470 Aug. 23, 2017 Notice of Filing of Proposed Rule Change to Amend the Complimentary Products and Services Available to Certain Eligible New Listings Pursuant to Section 146 of the NYSE American Company Guide
Comments due: September 19, 2017
Additional Materials: Exhibit 5
SR-NYSEAMER-2017-04
34-81408 Aug. 16, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE American Options Fee Schedule
Comments due: September 12, 2017
Additional Materials: Exhibit 5
SR-NYSEAMER-2017-03
34-81340 Aug. 8, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Supplementary Material .01 and .02 to NYSE American Rule 5.2E(j)(3) to Provide for the Inclusion of Cash in an Index Underlying a Series of Investment Company Units
Comments due: September 5, 2017
Additional Materials: Exhibit 5
SR-NYSEAMER-2017-02
34-81337 Aug. 8, 2017 Notice of Filing and Immediate Effectiveness of Proposed Change in Connection with Its Recent Name Change from NYSE MKT LLC to NYSE American LLC and the Related Rebranding of NYSE Amex Options to NYSE American Options
Comments due: September 5, 2017
Additional Materials: Exhibit 5a-5b
SR-NYSEAMER-2017-01
34-81232 Jul. 27, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change in Connection with the September 5, 2017 Compliance Date for the Shortening of the Standard Settlement Cycle from Three Business Days After the Trade Date to Two Business Days After the Trade Date
Comments due: August 23, 2017
Additional Materials: Exhibit 5