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 2019

Additional Archives


Chronological List for 2019

Release No. Date Details
Fourth Quarter
SR-NYSEAMER-2019-44
34-87354 Oct. 18, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Rule 7.10E
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-45
34-87345 Oct. 18, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Permanent Certain Options Market Rules That Are Linked to the Equity Market Plan to Address Extraordinary Market Volatility
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-42
34-87317 Oct. 16, 2019 Notice of Filing and Immediate Effectiveness of Proposed Change to Amend the Certificate of Incorporation of Intercontinental Exchange, Inc.
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-30
34-87315 Oct. 16, 2019 Order Approving a Proposed Rule Change to Modify Rules 967NY and 953.1NY Regarding the Treatment of Orders Subject to Trade Collar Protection
SR-NYSEAMER-2019-35
34-87184 Oct. 1, 2019 Notice of Withdrawal of Proposed Rule Change to Amend the NYSE American Options Fee Schedule to Revise the Options Regulatory Fee
Third Quarter
SR-NYSEAMER-2019-27
34-87090 Sep. 24, 2019 Notice of Withdrawal of Proposed Rule Change to Amend the NYSE American Options Fee Schedule to Modify the Options Regulatory Fee
SR-NYSEAMER-2019-37
34-87025 Sep. 19, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 7.12E
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-35
34-86960 Sep. 13, 2019 Notice of Filing and Immediate Effectiveness of Proposed Change Amending the NYSE American Options Fee Schedule by Revising the Options Regulatory Fee
Comments due: October 10, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSEAMER-2019-36
34-86917 Sep. 10, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE American Options Fee Schedule
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-34
34-86867 Sep. 4, 2019 Notice of Filing of Proposed Rule Change to Amend Its NYSE American Equities Price List and the NYSE American Options Fee Schedule Related to Co-location Services
Comments due: October 1, 2019
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-27
34-86833 Aug. 30, 2019 Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Modify the Options Regulatory Fee
Comments due: September 27, 2019
Rebuttal comments due: October 11, 2019
SR-NYSEAMER-2019-30
34-86789 Aug. 28, 2019 Notice of Filing of Proposed Rule Change to Modify Rules 967NY and 953.1NY Regarding the Treatment of Orders Subject to Trade Collar Protection
Comments due: September 24, 2019
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-31
34-86691 Aug. 16, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 928NY to Reduce the Minimum Allowable Parameter for the Transaction- and Volume-Based Settings in the Risk Limitation Mechanism
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-32
34-86689 Aug. 15, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE American Options Fee Schedule
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-24
34-86688 Aug. 15, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Supplementary Material .01(b)(5) to NYSE American Rule 8.600E Relating to Generic Listing Standards for Managed Fund Shares
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-33
34-86657 Aug. 14, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE American Options Fee Schedule
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-28
34-86548 Aug. 1, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its NYSE American Equities Price List and the NYSE American Options Fee Schedule Related to Co-location Services
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-27
34-86391 Jul. 16, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the NYSE American Options Fee Schedule by Revising the Options Regulatory Fee
Comments due: August 12, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSEAMER-2019-26
34-86333 Jul. 9, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.37E to Update a Rule Cross Reference
Additional Materials: Exhibit 5
Second Quarter
SR-NYSEAMER-2019-15
34-86225 Jun. 27, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete Provisions in Section 141 of the NYSE American Company Guide that Grant the Board Authority to Defer, Waive or Rebate Annual Fees for Listed Equity Securities and Bonds and to Eliminate Obsolete Provisions
SR-NYSEAMER-2019-25
34-86212 Jun. 27, 2019 Notice of Filing and Immediate Effectiveness of Proposed Change to Amend the NYSE American Options Fee Schedule
SR-NYSEAMER-2018-39
34-86111 Jun. 14, 2019 Notice of Withdrawal of Proposed Rule Change, as Modified by Amendment No. 2, To Allow Flexible Exchange Equity Options To Be Cash Settled Where the Underlying Security is a Specified Exchange-Traded Fund
SR-NYSEAMER-2019-22
34-86061 Jun. 7, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Commentary .02 to Rule 960NY in Order to Extend the Penny Pilot in Options Classes in Certain Issues
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-21
34-85960 May 29, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its NYSE American Equities Price List and the NYSE American Options Fee Schedule Related to Co-location Services
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-19
34-85925 May 23, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 967NY
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-20
34-85919 May 22, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Independence Policy of the Board of Directors of the Exchange
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-18
34-85874 May 16, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Allow $1 Strike Price Intervals Above $200 on Options on the QQQ and IWM Exchange-Traded Funds
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-17
34-85875 May 16, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Rule 961 and Conforming Changes to Rules 933NY and 995NY Governing the Give Up of a Clearing Broker
Additional Materials: Exhibit 3a, Exhibit 3b, Exhibit 5
SR-NYSEAMER-2019-16
34-85731 Apr. 26, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.11E, Limit Up-Limit Down Plan and Trading Pauses in Individual Securities Due to Extraordinary Market Volatility
Additional Materials: Exhibit 5
SR-NYSEAMER-2018-39
34-85628 Apr. 11, 2019 Notice of Filing of Amendment No. 2 to Proposed Rule Change To Allow Flexible Exchange Equity Options To Be Cash Settled Where the Underlying Security is a Specified Exchange-Traded Fund
Comments due: May 8, 2019
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-12
34-85617 Apr. 11, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot for Certain Options Market Rules that are Linked to the Equity Market Plan to Address Extraordinary Market Volatility
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-10
34-85584 Apr. 10, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE American Options Fee Schedule
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-14
34-85564 Apr. 9, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to Rule 7.12E, Trading Halts Due to Extraordinary Market Volatility
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-11
34-85563 Apr. 9, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Rule 7.10E, Clearly Erroneous Executions
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-09
34-85553 Apr. 8, 2019 Notice of Filing and Immediate Effectiveness of Proposed Change to Amend the NYSE American Options Fee Schedule
Additional Materials: Exhibit 5
SR-NYSEAMER-2018-39
34-85531 Apr. 5, 2019 Notice of Designation of 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 Allow Flexible Exchange Equity Options To Be Cash Settled Where the Underlying Security is a Specified Exchange-Traded Fund
SR-NYSEAMER-2019-08
34-85497 Apr. 3, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 928NY to Reduce the Minimum Allowable Parameter for the Percentage-Based Risk Limitation Mechanism
Additional Materials: Exhibit 5
First Quarter
SR-NYSEAMER-2019-03
34-85451 Mar. 29, 2019 Notice of Filing and Immediate Effectiveness of Proposed Change to Amend Its NYSE American Equities Price List and the NYSE American Options Fee Schedule Related to Co-location Services
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSEAMER-2019-06
34-85429 Mar. 27, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 900.3NY, 925.1NY, and 971.1NY
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-07
34-85425 Mar. 26, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify Statements Made in a Recent Filing In Regards to the Six-Month Lookback Period for New Issues Added to the Penny Pilot on a Quarterly Basis
SR-NYSEAMER-2019-05
34-85348 Mar. 18, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to Rule 960NY to specify that replacement issues may be added to the Penny Pilot quarterly
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSEAMER-2019-02
34-85302 Mar. 13, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its NYSE American Equities Price List and the NYSE American Options Fee Schedule Related to Co-location Services
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-04
34-85272 Mar. 8, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 7.16E, 7.18E, 7.31E, 7.34E, 7.35E, and 7.38E
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-01
34-85168 Feb. 20, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.31E Relating to the Minimum Trade Size Modifier
Additional Materials: Exhibit 5
SR-NYSEAMER-2018-58
34-85023 Jan. 31, 2019 Notice of Filing and Immediate Effectiveness of Proposed Change to Modify the NYSE American Options Fee Schedule
Additional Materials: Exhibit 5

NYSE American File Number List for 2019

Release No. Date Details
SR-NYSEAMER-2019-45
34-87345 Oct. 18, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Permanent Certain Options Market Rules That Are Linked to the Equity Market Plan to Address Extraordinary Market Volatility
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-44
34-87354 Oct. 18, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Rule 7.10E
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-42
34-87317 Oct. 16, 2019 Notice of Filing and Immediate Effectiveness of Proposed Change to Amend the Certificate of Incorporation of Intercontinental Exchange, Inc.
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-37
34-87025 Sep. 19, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 7.12E
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-36
34-86917 Sep. 10, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE American Options Fee Schedule
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-35
34-87184 Oct. 1, 2019 Notice of Withdrawal of Proposed Rule Change to Amend the NYSE American Options Fee Schedule to Revise the Options Regulatory Fee
34-86960 Sep. 13, 2019 Notice of Filing and Immediate Effectiveness of Proposed Change Amending the NYSE American Options Fee Schedule by Revising the Options Regulatory Fee
Comments due: October 10, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSEAMER-2019-34
34-86867 Sep. 4, 2019 Notice of Filing of Proposed Rule Change to Amend Its NYSE American Equities Price List and the NYSE American Options Fee Schedule Related to Co-location Services
Comments due: October 1, 2019
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-33
34-86657 Aug. 14, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE American Options Fee Schedule
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-32
34-86689 Aug. 15, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE American Options Fee Schedule
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-31
34-86691 Aug. 16, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 928NY to Reduce the Minimum Allowable Parameter for the Transaction- and Volume-Based Settings in the Risk Limitation Mechanism
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-30
34-87315 Oct. 16, 2019 Order Approving a Proposed Rule Change to Modify Rules 967NY and 953.1NY Regarding the Treatment of Orders Subject to Trade Collar Protection
34-86789 Aug. 28, 2019 Notice of Filing of Proposed Rule Change to Modify Rules 967NY and 953.1NY Regarding the Treatment of Orders Subject to Trade Collar Protection
Comments due: September 24, 2019
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-28
34-86548 Aug. 1, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its NYSE American Equities Price List and the NYSE American Options Fee Schedule Related to Co-location Services
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-27
34-87090 Sep. 24, 2019 Notice of Withdrawal of Proposed Rule Change to Amend the NYSE American Options Fee Schedule to Modify the Options Regulatory Fee
34-86833 Aug. 30, 2019 Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Modify the Options Regulatory Fee
Comments due: September 27, 2019
Rebuttal comments due: October 11, 2019
34-86391 Jul. 16, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the NYSE American Options Fee Schedule by Revising the Options Regulatory Fee
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSEAMER-2019-26
34-86333 Jul. 9, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.37E to Update a Rule Cross Reference
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-25
34-86212 Jun. 27, 2019 Notice of Filing and Immediate Effectiveness of Proposed Change to Amend the NYSE American Options Fee Schedule
SR-NYSEAMER-2019-24
34-86688 Aug. 15, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Supplementary Material .01(b)(5) to NYSE American Rule 8.600E Relating to Generic Listing Standards for Managed Fund Shares
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-22
34-86061 Jun. 7, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Commentary .02 to Rule 960NY in Order to Extend the Penny Pilot in Options Classes in Certain Issues
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-21
34-85960 May 29, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its NYSE American Equities Price List and the NYSE American Options Fee Schedule Related to Co-location Services
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-20
34-85919 May 22, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Independence Policy of the Board of Directors of the Exchange
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-19
34-85925 May 23, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 967NY
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-18
34-85874 May 16, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Allow $1 Strike Price Intervals Above $200 on Options on the QQQ and IWM Exchange-Traded Funds
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-17
34-85875 May 16, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Rule 961 and Conforming Changes to Rules 933NY and 995NY Governing the Give Up of a Clearing Broker
Additional Materials: Exhibit 3a, Exhibit 3b, Exhibit 5
SR-NYSEAMER-2019-16
34-85731 Apr. 26, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.11E, Limit Up-Limit Down Plan and Trading Pauses in Individual Securities Due to Extraordinary Market Volatility
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-15
34-86225 Jun. 27, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete Provisions in Section 141 of the NYSE American Company Guide that Grant the Board Authority to Defer, Waive or Rebate Annual Fees for Listed Equity Securities and Bonds and to Eliminate Obsolete Provisions
SR-NYSEAMER-2019-14
34-85564 Apr. 9, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to Rule 7.12E, Trading Halts Due to Extraordinary Market Volatility
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-12
34-85617 Apr. 11, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot for Certain Options Market Rules that are Linked to the Equity Market Plan to Address Extraordinary Market Volatility
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-11
34-85563 Apr. 9, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Rule 7.10E, Clearly Erroneous Executions
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-10
34-85584 Apr. 10, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE American Options Fee Schedule
Comments due: May 7, 2019
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-09
34-85553 Apr. 8, 2019 Notice of Filing and Immediate Effectiveness of Proposed Change to Amend the NYSE American Options Fee Schedule
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-08
34-85497 Apr. 3, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 928NY to Reduce the Minimum Allowable Parameter for the Percentage-Based Risk Limitation Mechanism
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-07
34-85425 Mar. 26, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify Statements Made in a Recent Filing In Regards to the Six-Month Lookback Period for New Issues Added to the Penny Pilot on a Quarterly Basis
SR-NYSEAMER-2019-06
34-85429 Mar. 27, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 900.3NY, 925.1NY, and 971.1NY
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-05
34-85348 Mar. 18, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to Rule 960NY to specify that replacement issues may be added to the Penny Pilot quarterly
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSEAMER-2019-04
34-85272 Mar. 8, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 7.16E, 7.18E, 7.31E, 7.34E, 7.35E, and 7.38E
Comments due: April 4, 2019
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-03
34-85451 Mar. 29, 2019 Notice of Filing and Immediate Effectiveness of Proposed Change to Amend Its NYSE American Equities Price List and the NYSE American Options Fee Schedule Related to Co-location Services
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSEAMER-2019-02
34-85302 Mar. 13, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its NYSE American Equities Price List and the NYSE American Options Fee Schedule Related to Co-location Services
Additional Materials: Exhibit 5
SR-NYSEAMER-2019-01
34-85168 Feb. 20, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.31E Relating to the Minimum Trade Size Modifier
Additional Materials: Exhibit 5