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
2023 | 2022 | 2021 | 2020 | 2019 | 2018 | 2017
Chronological List for 2019
| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| SR-NYSEAMER-2019-58 | ||
| 34-87841 | Dec. 23, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Change to Amend Its NYSE American Equities Price List and Fee Schedule and the NYSE American Options Fee Schedule to Extend for One Year a Fee Discount for the Partial Cabinet Solution Bundles Offered in Connection with the Exchange's Co-location Services
Comments due: January 21, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEAMER-2019-55 | ||
| 34-87801 | Dec. 19, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Partial Amendment No. 1, to Amend the Fees for NYSE American BBO and NYSE American Trades
Comments due: January 17, 2020 Additional Materials: Exhibit 3a, Exhibit 3b, Exhibit 5 Comments received are available for this proposal. |
| SR-NYSEAMER-2019-56 | ||
| 34-87794 | Dec. 18, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 967NY (Price Protection - Orders)
Comments due: January 16, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEAMER-2019-38 | ||
| 34-87792 | Dec. 18, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Allow Certain Flexible Exchange Equity Options To Be Cash Settled
Comments received are available for this proposal. |
| SR-NYSEAMER-2019-57 | ||
| 34-87779 | Dec. 17, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Change to Amend the NYSE American Options Fee Schedule relating to the MM FAANG Credit
Comments due: January 13, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEAMER-2019-41 | ||
| 34-87761 | Dec. 16, 2019 | Order Approving a Proposed Rule Change Regarding the Applicability and Functionality of Certain Order Types on the Exchange |
| SR-NYSEAMER-2019-34 | ||
| 34-87699 | Dec. 9, 2019 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Amend the Exchanges' Co-Location Price Lists to Offer Co-Location Users Access to the NMS Network and Establish Associated Fees
Comments due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register Additional File Nos.: SR-NYSE-2019-46, SR-NYSENAT-2019-19, SR-NYSEArca-2019-61 |
| SR-NYSEAMER-2019-52 | ||
| 34-87684 | Dec. 9, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amending its NYSE American Equities Price List and Fee Schedule and the NYSE American Options Fee Schedule Related to Co-location Services
Comments due: January 3, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEAMER-2019-51 | ||
| 34-87633 | Nov. 26, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Commentary .02 to Rule 960NY to Extend the Penny Pilot
Comments due: December 24, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEAMER-2019-49 | ||
| 34-87555 | Nov. 15, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending its Annual Listing Fees for Equity Securities
Comments due: December 12, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEAMER-2019-48 | ||
| 34-87550 | Nov. 15, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rules 1.1E and 7.29E to Eliminate the Delay Mechanism and Amend Exchange Rule 7.31E and Related Exchange Rules to Re-Introduce Previously-Approved Order Types and Modifiers
Comments due: December 12, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEAMER-2019-50 | ||
| 34-87548 | Nov. 15, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 7.37E Regarding the Exchange's Use of Data Feeds from NYSE Chicago, Inc. and Amend Exchange Rule 7.45E to Reflect that Archipelago Securities LLC Would Function as a Routing Broker for NYSE Chicago, Inc.
Comments due: December 12, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEAMER-2019-46 | ||
| 34-87513 | Nov. 13, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.31E to Delete Cross Orders
Comments due: December 10, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEAMER-2019-38 | ||
| 34-87444 | Nov. 1, 2019 | Notice of Filing of Proposed Rule Change To Allow Certain Flexible Exchange Equity Options To Be Cash Settled
Comments due: November 29, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSEAMER-2019-41 | ||
| 34-87442 | Nov. 1, 2019 | Notice of Filing of Proposed Rule Change Regarding the Applicability and Functionality of Certain Order Types on the Exchange
Comments due: November 29, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEAMER-2019-43 | ||
| 34-87404 | Oct. 28, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Change to Amend the NYSE American Options Fee Schedule
Comments due: November 22, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEAMER-2019-34 | ||
| 34-87401 | Oct. 24, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend the Exchange's Equities and Options Fee Schedules Related to Co-Location Services to Offer Access to a Network Providing Connection to the Three Equities and Options Feeds |
| 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: November 14, 2019 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: November 14, 2019 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: November 12, 2019 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 Comments received are available for this proposal. |
| 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-2019-58 | ||
| 34-87841 | Dec. 23, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Change to Amend Its NYSE American Equities Price List and Fee Schedule and the NYSE American Options Fee Schedule to Extend for One Year a Fee Discount for the Partial Cabinet Solution Bundles Offered in Connection with the Exchange's Co-location Services
Comments due: January 21, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEAMER-2019-57 | ||
| 34-87779 | Dec. 17, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Change to Amend the NYSE American Options Fee Schedule relating to the MM FAANG Credit
Comments due: January 13, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEAMER-2019-56 | ||
| 34-87794 | Dec. 18, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 967NY (Price Protection - Orders)
Comments due: January 16, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEAMER-2019-55 | ||
| 34-87801 | Dec. 19, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Partial Amendment No. 1, to Amend the Fees for NYSE American BBO and NYSE American Trades
Comments due: January 17, 2020 Additional Materials: Exhibit 3a, Exhibit 3b, Exhibit 5 Comments received are available for this proposal. |
| SR-NYSEAMER-2019-52 | ||
| 34-87684 | Dec. 9, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amending its NYSE American Equities Price List and Fee Schedule and the NYSE American Options Fee Schedule Related to Co-location Services
Comments due: January 3, 2020 Additional Materials: Exhibit 5 |
| SR-NYSEAMER-2019-51 | ||
| 34-87633 | Nov. 26, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Commentary .02 to Rule 960NY to Extend the Penny Pilot
Comments due: December 24, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEAMER-2019-50 | ||
| 34-87548 | Nov. 15, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 7.37E Regarding the Exchange's Use of Data Feeds from NYSE Chicago, Inc. and Amend Exchange Rule 7.45E to Reflect that Archipelago Securities LLC Would Function as a Routing Broker for NYSE Chicago, Inc.
Comments due: December 12, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEAMER-2019-49 | ||
| 34-87555 | Nov. 15, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending its Annual Listing Fees for Equity Securities
Comments due: December 12, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEAMER-2019-48 | ||
| 34-87550 | Nov. 15, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rules 1.1E and 7.29E to Eliminate the Delay Mechanism and Amend Exchange Rule 7.31E and Related Exchange Rules to Re-Introduce Previously-Approved Order Types and Modifiers
Comments due: December 12, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEAMER-2019-46 | ||
| 34-87513 | Nov. 13, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.31E to Delete Cross Orders
Comments due: December 10, 2019 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: November 14, 2019 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: November 14, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEAMER-2019-43 | ||
| 34-87404 | Oct. 28, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Change to Amend the NYSE American Options Fee Schedule
Comments due: November 22, 2019 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: November 12, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEAMER-2019-41 | ||
| 34-87761 | Dec. 16, 2019 | Order Approving a Proposed Rule Change Regarding the Applicability and Functionality of Certain Order Types on the Exchange |
| 34-87442 | Nov. 1, 2019 | Notice of Filing of Proposed Rule Change Regarding the Applicability and Functionality of Certain Order Types on the Exchange
Comments due: November 29, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEAMER-2019-38 | ||
| 34-88131 | Feb. 5, 2020 | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Allow Certain Flexible Equity Options To Be Cash Settled
Comments due: March 3, 2020 Additional Materials: Exhibit 4, Exhibit 5 |
| 34-87792 | Dec. 18, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Allow Certain Flexible Exchange Equity Options To Be Cash Settled |
| 34-87444 | Nov. 1, 2019 | Notice of Filing of Proposed Rule Change To Allow Certain Flexible Exchange Equity Options To Be Cash Settled
Comments due: November 29, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| 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 | ||
| 34-88837 | May 7, 2020 | Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend the Exchanges' Co-Location Services to Offer Co-Location Users Access to the NMS Network
Additional File Nos.: SR-NYSE-2019-46, SR-NYSENAT-2019-19, SR-NYSEArca-2019-61 |
| 34-88319 | Mar. 4, 2020 | 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. 1, to Amend the Exchanges' Co-Location Services to Offer Co-Location Users Access to the NMS Network
Additional File Nos.: SR-NYSE-2019-46, SR-NYSENAT-2019-19, SR-NYSEArca-2019-61 |
| 34-87929 | Jan. 9, 2020 | Notice of Filing of Amendment No. 1 to Proposed Rule Change Amending the NYSE American Equities Price List and the NYSE American Options Fee Schedule Related to Co-location Services in the Mahwah, New Jersey Data Center
Comments due: February 5, 2020 Additional Materials: Exhibit 5 |
| 34-87699 | Dec. 9, 2019 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Amend the Exchanges' Co-Location Price Lists to Offer Co-Location Users Access to the NMS Network and Establish Associated Fees
Comments due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register Additional File Nos.: SR-NYSE-2019-46, SR-NYSENAT-2019-19, SR-NYSEArca-2019-61 |
| 34-87401 | Oct. 24, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend the Exchange's Equities and Options Fee Schedules Related to Co-Location Services to Offer Access to a Network Providing Connection to the Three Equities and Options Feeds |
| 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 Comments received are available for this proposal. |
| 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 |