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NYSE Amex LLC Rulemaking Archive: 2009
Note: NYSE Amex LLC was formerly known as NYSE Alternext US LLC. All filings by NYSE Amex will be posted to this page. Filings with "NYSEALTR" as part of the file number will continue to be posted to the
NYSE Alternext page.
We encourage the public to submit comments on the following NYSE Amex 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
NYSEAmex File Number List for 2009
Additional Archives
2016 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009
| Release No. |
Date |
Details |
| Fourth Quarter |
SR-NYSEAmex-2009-99 |
| 34-61272 |
Dec. 31, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Deleting Rule 445 — NYSE Amex Equities and Adopting New Rule 3310 — NYSE Amex Equities to Correspond with Rule Changes Filed by the Financial Industry Regulatory Authority, Inc.
Comments due: January 29, 2010
|
SR-NYSEAmex-2009-91 |
| 34-61269 |
Dec. 31, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period to Receive Inbound Routes of Orders from Archipelago Securities LLC
Comments due: January 29, 2010
|
SR-NYSEAmex-2009-96 |
| 34-61265 |
Dec. 31, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 123C(8)(a)(1) to Extend Operation of the Extreme Order Imbalances Pilot
Comments due: January 29, 2010
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2009-92 |
| 34-61250 |
Dec. 29, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Extending the Operative Date of Rule 92(c)(3) from December 31, 2009 to July 31, 2010
Comments due: January 26, 2010
|
SR-NYSEAmex-2009-81 |
| 34-61244 |
Dec. 28, 2009 |
Order Approving the Proposed Rule Change, As Modified by Amendment No. 1, Amending NYSE Amex Equities Rule 123C to Modify the Procedures for Its Closing Process and Make Conforming Changes to NYSE Amex Equities Rule 13 and Rule 15
See also: Notice: Rel. No. 34-60973
|
SR-NYSEAmex-2009-86 |
| 34-61223 |
Dec. 22, 2009 |
Notice of Filing of Proposed Rule Change Amending Commentary .10 to Rule 915 and Commentary .11 to Rule 916
Comments due: January 20, 2010
Additional Materials: Exhibit 5
See also: Order/Notice: Rel. No. 34-61483
|
SR-NYSEAmex-2009-90 |
| 34-61218 |
Dec. 22, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Fee Schedule
Comments due: January 19, 2010
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2009-89 |
| 34-61179 |
Dec. 16, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending Rules 312- and 321- NYSE Amex Equities and Adopt New Rules 2262- and 2269- NYSE Amex Equities Filed by the Financial Industry Regulatory Authority, Inc.
Comments due: January 14, 2010
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2009-88 |
| 34-61157 |
Dec. 11, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Rule 352 and Adopting New Rule 2150 — NYSE Amex Equities to Correspond with Rule Changes Filed by the Financial Industry Regulatory Authority, Inc.
Comments due: January 11, 2010
|
SR-NYSEAmex-2009-85 |
| 34-61144 |
Dec. 10, 2009 |
Notice of Filing of Proposed Rule Change to Establish the NYSE Amex Realtime Reference Prices Service
Comments due: January 8, 2010
See also: Order: Rel. No. 34-61403
|
SR-NYSEAmex-2009-87 |
| 34-61139 |
Dec. 10, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC to Add Commentary .01 to Rule 934.3NY
Comments due: January 8, 2010
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2009-74 |
| 34-61106 |
Dec. 3, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot through December 31, 2010
Comments due: December 30, 2009
|
SR-NYSEAmex-2009-76 |
| 34-61081 |
Dec. 1, 2009 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Amending NYSE Amex Equities Rule 70 in Order to Update d-Quote Functionality and Provide for e-Quotes to Peg to the National Best Bid or Offer
Comments due: December 28, 2009
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-60887
|
SR-NYSEAmex-2009-82 |
| 34-61049 |
Nov. 23, 2009 |
Notice of Filing of Proposed Rule Change by NYSE Amex LLC Rescinding NYSE Information Memoranda 04-27 and 07-66 and Issuing a New Information Memo Concerning the Exchange's Gap Quote Policy
Comments due: December 22, 2009
See also: Order: Rel. No. 34-61276
|
SR-NYSEAmex-2009-84 |
| 34-61036 |
Nov. 19, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the $1.00 Strike Program to Allow Low-Strike LEAPS
Comments due: December 18, 2009
|
SR-NYSEAmex-2009-80 |
| 34-61034 |
Nov. 19, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE AMEX LLC Amending Rules 904 and 904C
Comments due: December 21, 2009
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2009-83 |
| 34-61030 |
Nov. 19, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its New Market Model Pilot Until the Earlier of Securities and Exchange Commission Approval to Make Such Pilot Permanent or March 30, 2010
Comments due: December 18, 2009
|
SR-NYSEAmex-2009-57 |
| 34-60984 |
Nov. 10, 2009 |
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Amending Rule 36 — NYSE Amex Equities to Conform with Proposed Amendments to Corresponding NYSE Rule 36 to Permit the Use of Personal Portable or Wireless Communication Devices Off the Exchange Trading Floor and Outside Other Restricted Access Areas
See also: Notice: Rel. No. 34-60692
|
SR-NYSEAmex-2009-81 |
| 34-60973 |
Nov. 9, 2009 |
Notice of Filing of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 123C to Modify the Procedures for Its Closing Process and Make Conforming Changes to NYSE Amex Equities Rules 13 and Rule 15
Comments due: December 8, 2009
See also: Order: Rel. No. 34-61244
|
SR-NYSEAmex-2009-63 |
| 34-60968 |
Nov. 9, 2009 |
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Permitting Affiliation with NYFIX Millennium L.L.C. and NYFIX Securities Corporation
See also: Notice: Rel. No. 34-60739
|
SR-NYSEAmex-2009-75 |
| 34-60953 |
Nov. 6, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC to Clarify Specialist Obligations
Comments due: December 4, 2009
|
SR-NYSEAmex-2009-79 |
| 34-60939 |
Nov. 4, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add 75 Options Classes to the Penny Pilot Program
Comments due: December 3, 2009
|
SR-NYSEAmex-2009-78 |
| 34-60916 |
Nov. 3, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending Exchange Rule 62 to Support Quoting and Trading in a Minimum Price Variation Below $.01 for Securities Traded on the Exchange for Orders or Interest Priced Below $1.00 Per Share
Comments due: November 30, 2009
|
SR-NYSEAmex-2009-77 |
| 34-60908 |
Oct. 30, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex, LLC Amending its Schedule of Fees and Charges for Exchange Services
Comments due: November 27, 2009
|
SR-NYSEAmex-2009-73 |
| 34-60907 |
Oct. 30, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add Commentary .04 to Rule 904C
Comments due: November 27, 2009
|
SR-NYSEAmex-2009-76 |
| 34-60887 |
Oct. 27, 2009 |
Notice of Filing of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 70 in Order to Update d-Quote Functionality and Provide for e-Quotes to Peg to the National Best Bid or Offer
Comments due: November 24, 2009
See also: Notice/Order: Rel. No. 34-61081
|
SR-NYSEAmex-2009-59 |
| 34-60823 |
Oct. 14, 2009 |
Order Granting Approval of Proposed Rule Change Amending NYSE Amex Options Rule 915
See also: Notice: Rel. No. 34-60622
|
SR-NYSEAmex-2009-68 |
| 34-60811 |
Oct. 9, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 14 to be Consistent with the New System Capability to Receive Orders for Execution on the Exchange Containing Settlement Instructions of "Cash," "Next Day" and "Seller's Option" Directly to a Floor Broker's Hand-Held Device
Comments due: 21 days after publication in the Federal Register
|
SR-NYSEAmex-2009-70 |
| 34-60808 |
Oct. 9, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 123C(8)(a)(1) to Extend the Operation of the Extreme Order Imbalances Pilot
Comments due: November 9, 2009
|
SR-NYSEAmex-2009-66 |
| 34-60800 |
Oct. 8, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Transaction Fees and Rebates
Comments due: November 5, 2009
|
SR-NYSEAmex-2009-69 |
| 34-60782 |
Oct. 2, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 128 Governing Clearly Erroneous Executions for NYSE Amex Equities
Comments due: October 29, 2009
|
SR-NYSEAmex-2009-65 |
| 34-60758 |
Oct. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Extending the Operation of Its New Market Model Pilot Until the Earlier of Securities and Exchange Commission Approval to Make Such Pilot Permanent or November 30, 2009
Comments due: October 28, 2009
|
| Third Quarter |
SR-NYSEAmex-2009-67 |
| 34-60751 |
Sep. 30, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period to Receive Inbound Routes of Orders from Archipelago Securities LLC
Comments due: October 28, 2009
|
SR-NYSEAmex-2009-62 |
| 34-60744 |
Sep. 29, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending Rule 900.3NY
Comments due: October 27, 2009
|
SR-NYSEAmex-2009-45 |
| 34-60741 |
Sep. 29, 2009 |
Order Approving Proposed Rule Change Amending Rule 476A (Imposition of Fines for Minor Violation(s) of Rules)
See also: Notice: Rel. No. 34-60520
|
SR-NYSEAmex-2009-63 |
| 34-60739 |
Sep. 29, 2009 |
Notice of Filing of Proposed Rule Change by NYSE Amex LLC Permitting Affiliation with NYFIX Millennium L.L.C. and NYFIX Securities Corporation
Comments due: October 26, 2009
See also: Order: Rel. No. 34-60968
|
SR-NYSEAmex-2009-64 |
| 34-60720 |
Sep. 25, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending Commentary .06 to Rule 903, Series of Options Open for Trading
Comments due: October 26, 2009
|
SR-NYSEAmex-2009-61 |
| 34-60698 |
Sep. 21, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Implementing a Fee for Complex Orders to Its Schedule of Fees and Charges for Exchange Services
Comments due: October 13, 2009
|
SR-NYSEAmex-2009-57 |
| 34-60692 |
Sep. 18, 2009 |
Notice of Filing of Proposed Rule Change by NYSE Amex LLC, as Modified by Amendment No. 1, Amending Rule 36 — NYSE Amex Equities to Conform with Proposed Amendments to Corresponding NYSE Rule 36 to Permit the Use of Personal Portable or Wireless Communication Devices Off the Exchange Trading Floor and Outside Other Restricted Access Areas
Comments due: October 19, 2009
See also: Order: Rel. No. 34-60984
|
SR-NYSEAmex-2009-46 |
| 34-60670 |
Sep. 15, 2009 |
Order Approving a Proposed Rule Change Amending NYSE Amex Equities Rule 1000 to Allow Exchange Systems to Access CCS Interest to Partially Fill an Incoming Limit Order
See also: Notice: Rel. No. 34-60428
|
SR-NYSEAmex-2009-60 |
| 34-60647 |
Sep. 10, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by NYSE Amex LLC in Connection with the Proposal of NYSE Euronext to Require That at Least Three-fourths of its Directors Satisfy Independence Requirements
Comments due: October 8, 2009
|
SR-NYSEAmex-2009-59 |
| 34-60622 |
Sep. 3, 2009 |
Notice of Filing of Proposed Rule Change Amending NYSE Amex Options Rule 915
Comments due: October 2, 2009
See also: Order: Rel. No. 34-60823
|
SR-NYSEAmex-2009-58 |
| 34-60574 |
Aug. 26, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Length of Time that Exchange Systems Transmit Odd-Lot Order-by-Order Information to the DMM Unit Algorithm Prior to the Opening Transaction from August 31, 2009 to October 31, 2009
Comments due: September 23, 2009
|
SR-NYSEAmex-2009-56 |
| 34-60561 |
Aug. 24, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New Fee for Annual Regulatory Training
Comments due: September 18, 2009
|
SR-NYSEAmex-2009-42 |
| 34-60554 |
Aug. 21, 2009 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Electronic Trading of Complex Orders
Comments due: September 17, 2009
See also: Notice: Rel. No. 34-60297
|
SR-NYSEAmex-2009-44 |
| 34-60548 |
Aug. 20, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Permissible Expiration Dates for Flexible Exchange Options
Comments due: September 16, 2009
|
SR-NYSEAmex-2009-55 |
| 34-60535 |
Aug. 19, 2009 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Amending Section 107(H) of the NYSE Amex Company Guide
Comments due: September 16, 2009
|
SR-NYSEAmex-2009-19 |
| 34-60526 |
Aug. 18, 2009 |
Order Granting Approval of a Proposed Rule Change as Modified by Amendment No. 1 Thereto to Adopt Rules Implementing the Options Order Protection and Locked/Crossed Market Plan
See also: Notice: Rel. No. 34-60015
|
SR-NYSEAmex-2009-45 |
| 34-60520 |
Aug. 18, 2009 |
Notice of Filing of a Proposed Rule Change Amending Rule 476A-Imposition of Fines for Minor Violations of Rules
Comments due: September 16, 2009
See also: Order: Rel. No. 34-60741
|
SR-NYSEAmex-2009-51 |
| 34-60511 |
Aug. 17, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by NYSE Amex LLC Adopting Rule 406 - NYSE Amex Equities as New Rule 3250 - NYSE Amex Equities to Conform to a Proposed Rule Change Submitted in a Companion Filing by the New York Stock Exchange LLC
Comments due: September 14, 2009
|
SR-NYSEAmex-2009-52 |
| 34-60458 |
Aug. 7, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Deleting Rule 409A — NYSE Amex Equities and Adopting New Rule 2266 — NYSE Amex Equities to Conform to Proposed Rule Changes Submitted in a Companion Filing by the New York Stock Exchange LLC
Comments due: September 8, 2009
|
SR-NYSEAmex-2009-54 |
| 34-60452 |
Aug. 5, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing its Schedule of Fees and Charges for Exchange Services
Comments due: September 3, 2009
|
SR-NYSEAmex-2009-53 |
| 34-60438 |
Aug. 5, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC to Change the Transaction Fee for Market At-the-Close and Limit At-the-Close Orders
Comments due: September 1, 2009
|
SR-NYSEAmex-2009-46 |
| 34-60428 |
Aug. 4, 2009 |
Notice of Filing of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 1000 to Allow Exchange Systems to Access CCS Interest to Partially Fill an Incoming Limit Order
Comments due: September 1, 2009
See also: Order: Rel. No. 34-60670
|
SR-NYSEAmex-2009-49 |
| 34-60425 |
Aug. 4, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 103B to Modify the Composition of the Exchange Selection Panel and Prohibit any Ex Parte Communications During and Regarding the Selection Process between the DMM Units and the Individuals Serving on the Exchange Selection Panel
Comments due: September 1, 2009
|
SR-NYSEAmex-2009-50 |
| 34-60418 |
Aug. 3, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Duplicate in the NYSE Amex Equities Price List the Section of the NYSE Amex Options Price List Setting Forth Regulatory Fees Applicable to Member Organizations
Comments due: August 31, 2009
|
SR-NYSEAmex-2009-47 |
| 34-60398 |
Jul. 30, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Disciplinary Rule 476A to Add Rule 104(a)(1)(A) — NYSE Amex Equities to Its "List of Exchange Rule Violations and Fines Applicable Thereto"
Comments due: August 26, 2009
|
SR-NYSEAmex-2009-48 |
| 34-60397 |
Jul. 30, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Extending the Operative Date of NYSE Amex Equities Rule 92(c)(3) from July 31, 2009 to December 31, 2009
Comments due: August 26, 2009
|
SR-NYSEAmex-2009-26 |
| 34-60385 |
Jul. 24, 2009 |
Order Approving Proposed Rule Change to Charge a $500 Monthly Fee to Recipients of the NYSE Amex Order Imbalance Information Datafeed
See also: Notice: Rel. No. 34-60122
|
SR-NYSEAmex-2009-38 |
| 34-60378 |
Jul. 23, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Implementing the Schedule of Fees and Charges for Exchange Services
Comments due: August 21, 2009
|
SR-NYSEAmex-2009-36 |
| 34-60317 |
Jul. 16, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 2 to Redefine the Term "Member Organization"
Comments due: August 14, 2009
|
SR-NYSEAmex-2009-42 |
| 34-60297 |
Jul. 13, 2009 |
Notice of Filing of Proposed Rule Change to Propose New Rules to Govern Electronic Complex Order Trading
Comments due: August 10, 2009
See also: Notice/Order: Rel. No. 34-60554
|
SR-NYSEAmex-2009-37 |
| 34-60296 |
Jul. 13, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Adopting Rule 968NY-Cabinet Trades
Comments due: August 10, 2009
|
SR-NYSEAmex-2009-39 |
| 34-60290 |
Jul. 10, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rules 60, 70 and 1000 to Reflect Modifications to the Manner in which the Exchange will Quote and Trade With Respect to Liquidity Replenishment Points
Comments due: August 7, 2009
|
SR-NYSEAmex-2009-40 |
| 34-60288 |
Jul. 10, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 72 to Eliminate Parity Allocations for DMM Interest Added Intra Day During a Slow Quote or When Verbally Trading with Floor Brokers at the Point of Sale
Comments due: August 7, 2009
|
SR-NYSEAmex-2009-43 |
| 34-60286 |
Jul. 10, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC to Extend the Short Term Option Series Pilot Program
Comments due: August 7, 2009
|
SR-NYSEAmex-2009-41 |
| 34-60283 |
Jul. 10, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending Its Option Trading Rules In Order to Adopt the Quarterly Option Series Pilot Program on a Permanent Basis
Comments due: August 7, 2009
|
SR-NYSEAmex-2009-24 |
| 34-60252 |
Jul. 7, 2009 |
Order Granting Accelerated Approval to a Proposed Rule Change Amending Rule 70.25 to Permit All Available Contra-Side Liquidity to Trigger the Execution of a d-Quote
See also: Notice: Rel. No. 34-60055
|
SR-NYSEAmex-2009-33 |
| 34-60226 |
Jul. 1, 2009 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Amending the Linkage Fees Portion of the Schedule of Fees and Charges for Exchange Services
Comments due: July 30, 2009
|
SR-NYSEAmex-2009-35 |
| 34-60225 |
Jul. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 960NY-Trading Differentials
Comments due: July 30, 2009
Comments received are available for this notice.
|
SR-NYSEAmex-2009-31 |
| 34-60217 |
Jul. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rules to Allow Customers to Transmit Orders on the Exchange With Settlement Instructions of "Cash," "Next Day" and "Seller’s Option" Directly to a Floor Broker for Manual Execution
Comments due: July 31, 2009
|
SR-NYSEAmex-2009-34 |
| 34-60206 |
Jul. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Schedule of Fees and Charges for Exchange Services
Comments due: July 28, 2009
|
| Second Quarter |
SR-NYSEAmex-2009-30 |
| 34-60176 |
Jun. 25, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC to Extend through September 30, 2009, its Waiver of Registered Representative Fees for New York Stock Exchange Member Organizations
Comments due: July 27, 2009
|
SR-NYSEAmex-2009-29 |
| 34-60151 |
Jun. 19, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Include Floor Broker Agency Interest Containing Pegging and/or Discretionary Instructions, Eligible for Execution in the Closing Transaction, in the NYSE Amex Order Imbalance Information Datafeed Disseminated Prior to the Closing Transaction
Comments due: July 17, 2009
|
SR-NYSEAmex-2009-27 |
| 34-60140 |
Jun. 18, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to WAIT Modifiers, PNP Plus Orders, and Attributable Orders
Comments due: July 16, 2009
|
SR-NYSEAmex-2009-18 |
| 34-60139 |
Jun. 18, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 124 to Clarify the Pricing Methodology for the Odd-Lot Portion of a Part of a Round-Lot Order; Clarify the Systems Capable of Accepting PRL Orders; and Clarify the Systems Capable of Accepting a Good 'Til Cancelled Order During the Implementation of Exchange System Enhancements
Comments due: July 16, 2009
|
SR-NYSEAmex-2009-26 |
| 34-60122 |
Jun. 17, 2009 |
Notice of Filing of Proposed Rule Change to Charge a $500 Monthly Fee to Recipients of the NYSE Amex Order Imbalance Information Datafeed
Comments due: July 15, 2009
See also: Order: Rel. No. 34-60385
|
SR-NYSEAmex-2009-28 |
| 34-60123 |
Jun. 17, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Available Without Charge the NYSE Amex OpenBook™ Datafeeds
Comments due: July 15, 2009
|
SR-NYSEAmex-2009-25 |
| 34-60117 |
Jun. 16, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Schedule of Fees and Charges for Exchange Services by Adding a Ratio Threshold Fee
Comments due: July 15, 2009
|
SR-NYSEAmex-2009-22 |
| 34-60077 |
Jun. 9, 2009 |
Notice of Filing and Immediate Effectiveness of Rule Change by NYSE Amex, Inc. Implementing Schedule of Fees and Charges for Exchange Services
Comments due: July 8, 2009
|
SR-NYSEAmex-2009-24 |
| 34-60055 |
Jun. 5, 2009 |
Notice of Filing of a Proposed Rule Change Amending Rule 70.25 to Permit all Available Contra-side Liquidity to Trigger the Execution of a d-Quote
Comments due: July 6, 2009
See also: Order: Rel. No. 34-60252
|
SR-NYSEAmex-2009-19 |
| 34-60015 |
Jun. 1, 2009 |
Notice of Filing of Proposed Rule Change to Adopt Rules to Implement the Options Order Protection and Locked/Crossed Market Plan
Comments due: June 30, 2009
See also: Order: Rel. No. 34-60526
|
SR-NYSEAmex-2009-21 |
| 34-60001 |
May 29, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 123E to Be More Consistent with the Exchange's Current Designated Market Maker System
Comments due: June 25, 2009
|
SR-NYSEAmex-2009-20 |
| 34-59997 |
May 28, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to Comparison of Executed Transactions
Additional File No.: SR-NYSE-2009-50
Comments due: July 6, 2009
|
SR-NYSEAmex-2009-15 |
| 34-59956 |
May 21, 2009 |
Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Amending Rule 935NY — Order Exposure Requirements to Reduce the Exposure Periods from Three Seconds to One Second
See also: Notice: Rel. No. 34-59825
|
SR-NYSEAmex-2009-17 |
| 34-59939 |
May 19, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Revising Rules Governing the Use of Telephones on the Options Trading Floor
Comments due: June 19, 2009
|
SR-NYSEAmex-2009-16 |
| 34-59883 |
May 7, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Making Certain Amendments to its Price List
Comments due: June 4, 2009
|
SR-NYSEAmex-2009-14 |
| 34-59834 |
Apr. 28, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rules 1000, 60 and 123C to be more Consistent with the Trading Characteristics of Securities Traded on NYSE Amex
Comments due: May 26, 2009
|
SR-NYSEAmex-2009-15 |
| 34-59825 |
Apr. 27, 2009 |
Notice of Filing of Proposed Rule Change by NYSE Amex LLC Amending Rule 935NY - Order Exposure Requirements
Comments due: May 20, 2009
See also: Order: Rel. No. 34-59956
|
SR-NYSEAmex-2009-13 |
| 34-59816 |
Apr. 23, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rules 15 and 123C Regarding the Operation of its NYSE Amex Order Imbalance Information Service to Modify the Reference Price at Which the Exchange Reports the Order Imbalance Information and Clarify what Information is Included and Excluded from the Order Imbalance Information Reports
Comments due: May 20, 2009
|
SR-NYSEAmex-2009-07 |
| 34-59799 |
Apr. 20, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rules 13, 902, 903, 904, 905 and 906 to Eliminate Certain Order Types from the Off-Hours Trading Facility
Comments due: May 19, 2009
|
SR-NYSEAmex-2009-12 |
| 34-59778 |
Apr. 16, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC to Adopt a Policy Relating to its Treatment of Trade Reports that it Determines to be Inconsistent with the Prevailing Market
Comments due: May 14, 2009
|
SR-NYSEAmex-2009-11 |
| 34-59743 |
Apr. 9, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Making Available an NYSE Amex Order Imbalance Information Datafeed as a Separate, Stand-Alone Market Data Product
Comments due: May 7, 2009
|
SR-NYSEAmex-2009-10 |
| 34-59736 |
Apr. 8, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 975NY — Obvious Errors and Catastrophic Errors
Comments due: May 7, 2009
|
SR-NYSEAmex-2009-09 |
| 34-59720 |
Apr. 7, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise Fees Payable by Member Organizations for which the Exchange is the Designated Examining Authority
Comments due: May 5, 2009
|
SR-NYSEAmex-2009-08 |
| 34-59715 |
Apr. 6, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing a New Transaction Fee for Floor Brokers
Comments due: May 5, 2009
|
SR-NYSEAmex-2009-04 |
| 34-59685 |
Apr. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC to Modify its Annual Report Distribution Requirements
Comments due: April 29, 2009
|
| First Quarter |
SR-NYSEAmex-2009-05 |
| 34-59665 |
Mar. 31, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending Equities Rule 48.10 to Extend the Temporary Provisions of the Rule Relating to the Ability of the Exchange to Declare An Extreme Market Volatility Condition and Suspend Certain Exchange Requirements Relating to the Closing of Securities at the Exchange
Comments due: April 28, 2009
|
SR-NYSEAmex-2009-03 |
| 34-59660 |
Mar. 31, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Deleting Rule 936C, Cancellation and Adjustment of Index Option Transactions
Comments due: April 28, 2009
|
SR-NYSEAmex-2009-01 |
| 34-59658 |
Mar. 31, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Amending its Schedule of Fees and Charges for Exchange Services
Comments due: April 27, 2009
|
SR-NYSEAmex-2009-06 |
| 34-59642 |
Mar. 27, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending the Option Trading Rules In Order to Extend the Penny Pilot Program
Comments due: April 27, 2009
|
SR-NYSEAmex-2009-02 |
| 34-59627 |
Mar. 25, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Formally Adopting and Codifying its Wireless Data Communications Initiatives
Comments due: April 22, 2009
|
| Release No. |
Date |
Details |
SR-NYSEAmex-2009-102 |
| 34-61310 |
Jan. 7, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC to Modify its Liquidity Credits and Establish Separate Liquidity Credits for Supplemental Liquidity Providers
Comments due: February 4, 2010
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2009-100 |
| 34-61293 |
Jan. 6, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 18 to Eliminate the $500 Minimum Net Loss Requirement for a Member Organization to Seek Compensation in the Event of an Exchange System Failure
Comments due: February 2, 2010
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2009-99 |
| 34-61272 |
Dec. 31, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Deleting Rule 445 — NYSE Amex Equities and Adopting New Rule 3310 — NYSE Amex Equities to Correspond with Rule Changes Filed by the Financial Industry Regulatory Authority, Inc.
Comments due: January 29, 2010
|
SR-NYSEAmex-2009-98 |
| 34-61308 |
Jan. 7, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Adopting New Rule 107B — NYSE Amex Equities to Establish a New Class of NYSE Amex Equities Market Participants Referred to as "Supplemental Liquidity Providers" or "SLPs"
Comments due: February 5, 2010
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2009-96 |
| 34-61265 |
Dec. 31, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 123C(8)(a)(1) to Extend Operation of the Extreme Order Imbalances Pilot
Comments due: January 29, 2010
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2009-95 |
| 34-61291 |
Jan. 5, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC to Establish Registered Representative Fees
Comments due: February 2, 2010
|
SR-NYSEAmex-2009-94 |
| 34-61343 |
Jan. 13, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending Commentary .01 to Rule 903G
Comments due: February 11, 2010
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2009-93 |
| 34-61292 |
Jan. 5, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 452 — NYSE Amex Equities and Section 723 of the NYSE Amex Company Guide Regarding Broker Discretionary Voting for Election of Directors and on Material Amendments to Investment Advisory Contracts
Comments due: February 2, 2010
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2009-92 |
| 34-61250 |
Dec. 29, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Extending the Operative Date of Rule 92(c)(3) from December 31, 2009 to July 31, 2010
Comments due: January 26, 2010
|
SR-NYSEAmex-2009-91 |
| 34-61269 |
Dec. 31, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period to Receive Inbound Routes of Orders from Archipelago Securities LLC
Comments due: January 29, 2010
|
SR-NYSEAmex-2009-90 |
| 34-61218 |
Dec. 22, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Fee Schedule
Comments due: January 19, 2010
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2009-89 |
| 34-61179 |
Dec. 16, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending Rules 312- and 321- NYSE Amex Equities and Adopt New Rules 2262- and 2269- NYSE Amex Equities Filed by the Financial Industry Regulatory Authority, Inc.
Comments due: January 14, 2010
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2009-88 |
| 34-61157 |
Dec. 11, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Rule 352 and Adopting New Rule 2150 — NYSE Amex Equities to Correspond with Rule Changes Filed by the Financial Industry Regulatory Authority, Inc.
Comments due: January 11, 2010
|
SR-NYSEAmex-2009-87 |
| 34-61139 |
Dec. 10, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC to Add Commentary .01 to Rule 934.3NY
Comments due: January 8, 2010
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2009-86 |
| 34-61483 |
Feb. 3, 2010 |
Order Granting Approval of Proposed Rule Changes and Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Listing and Trading Options on the ETFS Gold Trust and the ETFS Silver Trust
Additional File Nos: SR-CBOE-2010-007; SR-ISE-2009-106; and SR-NYSEArca-2009-110
Comments due: 21 days after publication in the Federal Register
|
| 34-61223 |
Dec. 22, 2009 |
Notice of Filing of Proposed Rule Change Amending Commentary .10 to Rule 915 and Commentary .11 to Rule 916
Comments due: January 20, 2010
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2009-85 |
| 34-61403 |
Jan. 22, 2010 |
Order Approving Proposed Rule Change to Establish the NYSE Amex Realtime Reference Prices Service
|
| 34-61144 |
Dec. 10, 2009 |
Notice of Filing of Proposed Rule Change to Establish the NYSE Amex Realtime Reference Prices Service
Comments due: January 8, 2010
|
SR-NYSEAmex-2009-84 |
| 34-61036 |
Nov. 19, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the $1.00 Strike Program to Allow Low-Strike LEAPS
Comments due: December 18, 2009
|
SR-NYSEAmex-2009-83 |
| 34-61030 |
Nov. 19, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its New Market Model Pilot Until the Earlier of Securities and Exchange Commission Approval to Make Such Pilot Permanent or March 30, 2010
Comments due: December 18, 2009
|
SR-NYSEAmex-2009-82 |
| 34-61276 |
Jan. 4, 2010 |
Order Approving a Proposed Rule Change Rescinding NYSE Information Memoranda 04-27 and 07-66 and Issuing a New Information Memo Concerning the Exchange’s Gap Quote Policy
|
| 34-61049 |
Nov. 23, 2009 |
Notice of Filing of Proposed Rule Change by NYSE Amex LLC Rescinding NYSE Information Memoranda 04-27 and 07-66 and Issuing a New Information Memo Concerning the Exchange's Gap Quote Policy
Comments due: December 22, 2009
|
SR-NYSEAmex-2009-81 |
| 34-61244 |
Dec. 28, 2009 |
Order Approving the Proposed Rule Change, As Modified by Amendment No. 1, Amending NYSE Amex Equities Rule 123C to Modify the Procedures for Its Closing Process and Make Conforming Changes to NYSE Amex Equities Rule 13 and Rule 15
|
| 34-60973 |
Nov. 9, 2009 |
Notice of Filing of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 123C to Modify the Procedures for Its Closing Process and Make Conforming Changes to NYSE Amex Equities Rules 13 and Rule 15
Comments due: December 8, 2009
|
SR-NYSEAmex-2009-80 |
| 34-61034 |
Nov. 19, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE AMEX LLC Amending Rules 904 and 904C
Comments due: December 21, 2009
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2009-79 |
| 34-60939 |
Nov. 4, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add 75 Options Classes to the Penny Pilot Program
Comments due: December 3, 2009
|
SR-NYSEAmex-2009-78 |
| 34-60916 |
Nov. 3, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending Exchange Rule 62 to Support Quoting and Trading in a Minimum Price Variation Below $.01 for Securities Traded on the Exchange for Orders or Interest Priced Below $1.00 Per Share
Comments due: November 30, 2009
|
SR-NYSEAmex-2009-77 |
| 34-60908 |
Oct. 30, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex, LLC Amending its Schedule of Fees and Charges for Exchange Services
Comments due: November 27, 2009
|
SR-NYSEAmex-2009-76 |
| 34-61081 |
Dec. 1, 2009 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Amending NYSE Amex Equities Rule 70 in Order to Update d-Quote Functionality and Provide for e-Quotes to Peg to the National Best Bid or Offer
Comments due: December 28, 2009
Additional Materials: Exhibit 5
|
| 34-60887 |
Oct. 27, 2009 |
Notice of Filing of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 70 in Order to Update d-Quote Functionality and Provide for e-Quotes to Peg to the National Best Bid or Offer
Comments due: November 24, 2009
|
SR-NYSEAmex-2009-75 |
| 34-60953 |
Nov. 6, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC to Clarify Specialist Obligations
Comments due: December 4, 2009
|
SR-NYSEAmex-2009-74 |
| 34-61106 |
Dec. 3, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot through December 31, 2010
Comments due: December 30, 2009
|
SR-NYSEAmex-2009-73 |
| 34-60907 |
Oct. 30, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add Commentary .04 to Rule 904C
Comments due: November 27, 2009
|
SR-NYSEAmex-2009-70 |
| 34-60808 |
Oct. 9, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 123C(8)(a)(1) to Extend the Operation of the Extreme Order Imbalances Pilot
Comments due: November 9, 2009
|
SR-NYSEAmex-2009-69 |
| 34-60782 |
Oct. 2, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 128 Governing Clearly Erroneous Executions for NYSE Amex Equities
Comments due: October 29, 2009
|
SR-NYSEAmex-2009-68 |
| 34-60811 |
Oct. 9, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 14 to be Consistent with the New System Capability to Receive Orders for Execution on the Exchange Containing Settlement Instructions of "Cash," "Next Day" and "Seller's Option" Directly to a Floor Broker's Hand-Held Device
Comments due: November 9, 2009
|
SR-NYSEAmex-2009-67 |
| 34-60751 |
Sep. 30, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period to Receive Inbound Routes of Orders from Archipelago Securities LLC
Comments due: October 28, 2009
|
SR-NYSEAmex-2009-66 |
| 34-60800 |
Oct. 8, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Transaction Fees and Rebates
Comments due: November 5, 2009
|
SR-NYSEAmex-2009-65 |
| 34-60758 |
Oct. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Extending the Operation of Its New Market Model Pilot Until the Earlier of Securities and Exchange Commission Approval to Make Such Pilot Permanent or November 30, 2009
Comments due: October 28, 2009
|
SR-NYSEAmex-2009-64 |
| 34-60720 |
Sep. 25, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending Commentary .06 to Rule 903, Series of Options Open for Trading
Comments due: October 26, 2009
|
SR-NYSEAmex-2009-63 |
| 34-60968 |
Nov. 9, 2009 |
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Permitting Affiliation with NYFIX Millennium L.L.C. and NYFIX Securities Corporation
|
| 34-60739 |
Sep. 29, 2009 |
Notice of Filing of Proposed Rule Change by NYSE Amex LLC Permitting Affiliation with NYFIX Millennium L.L.C. and NYFIX Securities Corporation
Comments due: October 26, 2009
|
SR-NYSEAmex-2009-62 |
| 34-60744 |
Sep. 29, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending Rule 900.3NY
Comments due: October 27, 2009
|
SR-NYSEAmex-2009-61 |
| 34-60698 |
Sep. 21, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Implementing a Fee for Complex Orders to Its Schedule of Fees and Charges for Exchange Services
Comments due: October 13, 2009
|
SR-NYSEAmex-2009-60 |
| 34-60647 |
Sep. 10, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by NYSE Amex LLC in Connection with the Proposal of NYSE Euronext to Require That at Least Three-fourths of its Directors Satisfy Independence Requirements
Comments due: October 8, 2009
|
SR-NYSEAmex-2009-59 |
| 34-60823 |
Oct. 14, 2009 |
Order Granting Approval of Proposed Rule Change Amending NYSE Amex Options Rule 915
|
| 34-60622 |
Sep. 3, 2009 |
Notice of Filing of Proposed Rule Change Amending NYSE Amex Options Rule 915
Comments due: October 2, 2009
|
SR-NYSEAmex-2009-58 |
| 34-60574 |
Aug. 26, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Length of Time that Exchange Systems Transmit Odd-Lot Order-by-Order Information to the DMM Unit Algorithm Prior to the Opening Transaction from August 31, 2009 to October 31, 2009
Comments due: September 23, 2009
|
SR-NYSEAmex-2009-57 |
| 34-60984 |
Nov. 10, 2009 |
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Amending Rule 36 — NYSE Amex Equities to Conform with Proposed Amendments to Corresponding NYSE Rule 36 to Permit the Use of Personal Portable or Wireless Communication Devices Off the Exchange Trading Floor and Outside Other Restricted Access Areas
|
| 34-60692 |
Sep. 18, 2009 |
Notice of Filing of Proposed Rule Change by NYSE Amex LLC, as Modified by Amendment No. 1, Amending Rule 36 — NYSE Amex Equities to Conform with Proposed Amendments to Corresponding NYSE Rule 36 to Permit the Use of Personal Portable or Wireless Communication Devices Off the Exchange Trading Floor and Outside Other Restricted Access Areas
Comments due: October 19, 2009
|
SR-NYSEAmex-2009-56 |
| 34-60561 |
Aug. 24, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New Fee for Annual Regulatory Training
Comments due: September 18, 2009
|
SR-NYSEAmex-2009-55 |
| 34-60535 |
Aug. 19, 2009 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Amending Section 107(H) of the NYSE Amex Company Guide
Comments due: September 16, 2009
|
SR-NYSEAmex-2009-54 |
| 34-60452 |
Aug. 5, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing its Schedule of Fees and Charges for Exchange Services
Comments due: September 3, 2009
|
SR-NYSEAmex-2009-53 |
| 34-60438 |
Aug. 5, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC to Change the Transaction Fee for Market At-the-Close and Limit At-the-Close Orders
Comments due: September 1, 2009
|
SR-NYSEAmex-2009-52 |
| 34-60458 |
Aug. 7, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Deleting Rule 409A — NYSE Amex Equities and Adopting New Rule 2266 — NYSE Amex Equities to Conform to Proposed Rule Changes Submitted in a Companion Filing by the New York Stock Exchange LLC
Comments due: September 8, 2009
|
SR-NYSEAmex-2009-51 |
| 34-60511 |
Aug. 17, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by NYSE Amex LLC Adopting Rule 406 - NYSE Amex Equities as New Rule 3250 - NYSE Amex Equities to Conform to a Proposed Rule Change Submitted in a Companion Filing by the New York Stock Exchange LLC
Comments due: September 14, 2009
|
SR-NYSEAmex-2009-50 |
| 34-60418 |
Aug. 3, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Duplicate in the NYSE Amex Equities Price List the Section of the NYSE Amex Options Price List Setting Forth Regulatory Fees Applicable to Member Organizations
Comments due: August 31, 2009
|
SR-NYSEAmex-2009-49 |
| 34-60425 |
Aug. 4, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 103B to Modify the Composition of the Exchange Selection Panel and Prohibit any Ex Parte Communications During and Regarding the Selection Process between the DMM Units and the Individuals Serving on the Exchange Selection Panel
Comments due: September 1, 2009
|
SR-NYSEAmex-2009-48 |
| 34-60397 |
Jul. 30, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Extending the Operative Date of NYSE Amex Equities Rule 92(c)(3) from July 31, 2009 to December 31, 2009
Comments due: August 26, 2009
|
SR-NYSEAmex-2009-47 |
| 34-60398 |
Jul. 30, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Disciplinary Rule 476A to Add Rule 104(a)(1)(A) — NYSE Amex Equities to Its "List of Exchange Rule Violations and Fines Applicable Thereto"
Comments due: August 26, 2009
|
SR-NYSEAmex-2009-46 |
| 34-60670 |
Sep. 15, 2009 |
Order Approving a Proposed Rule Change Amending NYSE Amex Equities Rule 1000 to Allow Exchange Systems to Access CCS Interest to Partially Fill an Incoming Limit Order
|
| 34-60428 |
Aug. 4, 2009 |
Notice of Filing of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 1000 to Allow Exchange Systems to Access CCS Interest to Partially Fill an Incoming Limit Order
Comments due: September 1, 2009
|
SR-NYSEAmex-2009-45 |
| 34-60741 |
Sep. 29, 2009 |
Order Approving Proposed Rule Change Amending Rule 476A (Imposition of Fines for Minor Violation(s) of Rules)
|
| 34-60520 |
Aug. 18, 2009 |
Notice of Filing of a Proposed Rule Change Amending Rule 476A-Imposition of Fines for Minor Violations of Rules
Comments due: September 16, 2009
|
SR-NYSEAmex-2009-44 |
| 34-60548 |
Aug. 20, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Permissible Expiration Dates for Flexible Exchange Options
Comments due: September 16, 2009
|
SR-NYSEAmex-2009-43 |
| 34-60286 |
Jul. 10, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC to Extend the Short Term Option Series Pilot Program
Comments due: August 7, 2009
|
SR-NYSEAmex-2009-42 |
| 34-60554 |
Aug. 21, 2009 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Electronic Trading of Complex Orders
Comments due: September 17, 2009
|
| 34-60297 |
Jul. 13, 2009 |
Notice of Filing of Proposed Rule Change to Propose New Rules to Govern Electronic Complex Order Trading
Comments due: August 10, 2009
|
SR-NYSEAmex-2009-41 |
| 34-60283 |
Jul. 10, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending Its Option Trading Rules In Order to Adopt the Quarterly Option Series Pilot Program on a Permanent Basis
Comments due: August 7, 2009
|
SR-NYSEAmex-2009-40 |
| 34-60288 |
Jul. 10, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 72 to Eliminate Parity Allocations for DMM Interest Added Intra Day During a Slow Quote or When Verbally Trading with Floor Brokers at the Point of Sale
Comments due: August 7, 2009
|
SR-NYSEAmex-2009-39 |
| 34-60290 |
Jul. 10, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rules 60, 70 and 1000 to Reflect Modifications to the Manner in which the Exchange will Quote and Trade With Respect to Liquidity Replenishment Points
Comments due: August 7, 2009
|
SR-NYSEAmex-2009-38 |
| 34-60378 |
Jul. 23, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Implementing the Schedule of Fees and Charges for Exchange Services
Comments due: August 21, 2009
|
SR-NYSEAmex-2009-37 |
| 34-60296 |
Jul. 13, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Adopting Rule 968NY-Cabinet Trades
Comments due: August 10, 2009
|
SR-NYSEAmex-2009-36 |
| 34-60317 |
Jul. 16, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 2 to Redefine the Term "Member Organization"
Comments due: August 14, 2009
|
SR-NYSEAmex-2009-35 |
| 34-60225 |
Jul. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 960NY-Trading Differentials
Comments due: July 30, 2009
Comments received are available for this notice.
|
SR-NYSEAmex-2009-34 |
| 34-60206 |
Jul. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Schedule of Fees and Charges for Exchange Services
Comments due: July 28, 2009
|
SR-NYSEAmex-2009-33 |
| 34-60226 |
Jul. 1, 2009 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Amending the Linkage Fees Portion of the Schedule of Fees and Charges for Exchange Services
Comments due: July 30, 2009
|
SR-NYSEAmex-2009-31 |
| 34-60217 |
Jul. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rules to Allow Customers to Transmit Orders on the Exchange With Settlement Instructions of "Cash," "Next Day" and "Seller’s Option" Directly to a Floor Broker for Manual Execution
Comments due: July 31, 2009
|
SR-NYSEAmex-2009-30 |
| 34-60176 |
Jun. 25, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC to Extend through September 30, 2009, its Waiver of Registered Representative Fees for New York Stock Exchange Member Organizations
Comments due: July 27, 2009
|
SR-NYSEAmex-2009-29 |
| 34-60151 |
Jun. 19, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Include Floor Broker Agency Interest Containing Pegging and/or Discretionary Instructions, Eligible for Execution in the Closing Transaction, in the NYSE Amex Order Imbalance Information Datafeed Disseminated Prior to the Closing Transaction
Comments due: July 17, 2009
|
SR-NYSEAmex-2009-28 |
| 34-60123 |
Jun. 17, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Available Without Charge the NYSE Amex OpenBook™ Datafeeds
Comments due: July 15, 2009
|
SR-NYSEAmex-2009-27 |
| 34-60140 |
Jun. 18, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to WAIT Modifiers, PNP Plus Orders, and Attributable Orders
Comments due: July 16, 2009
|
SR-NYSEAmex-2009-26 |
| 34-60385 |
Jul. 24, 2009 |
Order Approving Proposed Rule Change to Charge a $500 Monthly Fee to Recipients of the NYSE Amex Order Imbalance Information Datafeed
See also: 34-60122
|
| 34-60122 |
Jun. 17, 2009 |
Notice of Filing of Proposed Rule Change to Charge a $500 Monthly Fee to Recipients of the NYSE Amex Order Imbalance Information Datafeed
Comments due: July 15, 2009
|
SR-NYSEAmex-2009-25 |
| 34-60117 |
Jun. 16, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Schedule of Fees and Charges for Exchange Services by Adding a Ratio Threshold Fee
Comments due: July 15, 2009
|
SR-NYSEAmex-2009-24 |
| 34-60252 |
Jul. 7, 2009 |
Order Granting Accelerated Approval to a Proposed Rule Change Amending Rule 70.25 to Permit All Available Contra-Side Liquidity to Trigger the Execution of a d-Quote
|
| 34-60055 |
Jun. 5, 2009 |
Notice of Filing of a Proposed Rule Change Amending Rule 70.25 to Permit all Available Contra-side Liquidity to Trigger the Execution of a d-Quote
Comments due: July 6, 2009
|
SR-NYSEAmex-2009-22 |
| 34-60077 |
Jun. 9, 2009 |
Notice of Filing and Immediate Effectiveness of Rule Change by NYSE Amex, Inc. Implementing Schedule of Fees and Charges for Exchange Services
Comments due: July 8, 2009
|
SR-NYSEAmex-2009-21 |
| 34-60001 |
May 29, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 123E to Be More Consistent with the Exchange's Current Designated Market Maker System
Comments due: June 25, 2009
|
SR-NYSEAmex-2009-20 |
| 34-59997 |
May 28, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to Comparison of Executed Transactions
Additional File No.: SR-NYSE-2009-50
Comments due: July 6, 2009
|
SR-NYSEAmex-2009-19 |
| 34-60526 |
Aug. 18, 2009 |
Order Granting Approval of a Proposed Rule Change as Modified by Amendment No. 1 Thereto to Adopt Rules Implementing the Options Order Protection and Locked/Crossed Market Plan
|
| 34-60015 |
Jun. 1, 2009 |
Notice of Filing of Proposed Rule Change to Adopt Rules to Implement the Options Order Protection and Locked/Crossed Market Plan
Comments due: June 30, 2009
|
SR-NYSEAmex-2009-18 |
| 34-60139 |
Jun. 18, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 124 to Clarify the Pricing Methodology for the Odd-Lot Portion of a Part of a Round-Lot Order; Clarify the Systems Capable of Accepting PRL Orders; and Clarify the Systems Capable of Accepting a Good 'Til Cancelled Order During the Implementation of Exchange System Enhancements
Comments due: July 16, 2009
|
SR-NYSEAmex-2009-17 |
| 34-59939 |
May 19, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Revising Rules Governing the Use of Telephones on the Options Trading Floor
Comments due: June 19, 2009
|
SR-NYSEAmex-2009-16 |
| 34-59883 |
May 7, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Making Certain Amendments to its Price List
Comments due: June 4, 2009
|
SR-NYSEAmex-2009-15 |
| 34-59956 |
May 21, 2009 |
Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Amending Rule 935NY — Order Exposure Requirements to Reduce the Exposure Periods from Three Seconds to One Second
|
| 34-59825 |
Apr. 27, 2009 |
Notice of Filing of Proposed Rule Change by NYSE Amex LLC Amending Rule 935NY - Order Exposure Requirements
Comments due: May 20, 2009
|
SR-NYSEAmex-2009-14 |
| 34-59834 |
Apr. 28, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rules 1000, 60 and 123C to be more Consistent with the Trading Characteristics of Securities Traded on NYSE Amex
Comments due: May 26, 2009
|
SR-NYSEAmex-2009-13 |
| 34-59816 |
Apr. 23, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rules 15 and 123C Regarding the Operation of its NYSE Amex Order Imbalance Information Service to Modify the Reference Price at Which the Exchange Reports the Order Imbalance Information and Clarify what Information is Included and Excluded from the Order Imbalance Information Reports
Comments due: May 20, 2009
|
SR-NYSEAmex-2009-12 |
| 34-59778 |
Apr. 16, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC to Adopt a Policy Relating to its Treatment of Trade Reports that it Determines to be Inconsistent with the Prevailing Market
Comments due: May 14, 2009
|
SR-NYSEAmex-2009-11 |
| 34-59743 |
Apr. 9, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Making Available an NYSE Amex Order Imbalance Information Datafeed as a Separate, Stand-Alone Market Data Product
Comments due: May 7, 2009
|
SR-NYSEAmex-2009-10 |
| 34-59736 |
Apr. 8, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 975NY — Obvious Errors and Catastrophic Errors
Comments due: May 7, 2009
|
SR-NYSEAmex-2009-09 |
| 34-59720 |
Apr. 7, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise Fees Payable by Member Organizations for which the Exchange is the Designated Examining Authority
Comments due: May 5, 2009
|
SR-NYSEAmex-2009-08 |
| 34-59715 |
Apr. 6, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing a New Transaction Fee for Floor Brokers
Comments due: May 5, 2009
|
SR-NYSEAmex-2009-07 |
| 34-59799 |
Apr. 20, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rules 13, 902, 903, 904, 905 and 906 to Eliminate Certain Order Types from the Off-Hours Trading Facility
Comments due: May 19, 2009
|
SR-NYSEAmex-2009-06 |
| 34-59642 |
Mar. 27, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending the Option Trading Rules In Order to Extend the Penny Pilot Program
Comments due: April 27, 2009
|
SR-NYSEAmex-2009-05 |
| 34-59665 |
Mar. 31, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending Equities Rule 48.10 to Extend the Temporary Provisions of the Rule Relating to the Ability of the Exchange to Declare An Extreme Market Volatility Condition and Suspend Certain Exchange Requirements Relating to the Closing of Securities at the Exchange
Comments due: April 28, 2009
|
SR-NYSEAmex-2009-04 |
| 34-59685 |
Apr. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC to Modify its Annual Report Distribution Requirements
Comments due: April 29, 2009
|
SR-NYSEAmex-2009-03 |
| 34-59660 |
Mar. 31, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Deleting Rule 936C, Cancellation and Adjustment of Index Option Transactions
Comments due: April 28, 2009
|
SR-NYSEAmex-2009-02 |
| 34-59627 |
Mar. 25, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Formally Adopting and Codifying its Wireless Data Communications Initiatives
Comments due: April 22, 2009
|
SR-NYSEAmex-2009-01 |
| 34-59658 |
Mar. 31, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Amending its Schedule of Fees and Charges for Exchange Services
Comments due: April 27, 2009
|
http://www.sec.gov/rules/sro/nyseamex/nyseamexarchive/nyseamexarchive2009.shtml
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