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NYSE Amex LLC Rulemaking Archive: 2011
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 2011
Additional Archives
2016 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009
| Release No. |
Date |
Details |
| Fourth Quarter |
SR-NYSEAmex-2011-73 |
|
34-66065 |
Dec. 28, 2011 |
Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Changes Relating to Trading Halts Due to Extraordinary Market Volatility
Comments due: January 25, 2012
Rebuttal comments due: February 8, 2012
Additional File Nos.: SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEArca-2011-68, SR-Phlx-2011-129
See also:
Order: Rel. No. 34-67090;
Notice: Rel. No 34-66680;
Notice: Rel. No. 34-65770; and
Notice: Rel. No. 34-65432
Comments received
are available
for this notice.
|
SR-NYSEAmex-2011-104 |
|
34-66040 |
Dec. 23, 2011 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending NYSE Amex Equities Rule 500 to Extend the Operation of the Pilot Program that Allows Nasdaq Stock Market Securities to be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges Until the Earlier of Securities and Exchange Commission Approval to Make Such Pilot Permanent or July 31, 2012
Comments due: January 20, 2012
|
SR-NYSEAmex-2011-103 |
|
34-66041 |
Dec. 23, 2011 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot Under Rule 107B Until the Earlier of the Securities and Exchange Commission's Approval to Make Such Pilot Permanent or July 31, 2012
Comments due: January 20, 2012
|
SR-NYSEAmex-2011-102 |
|
34-66042 |
Dec. 23, 2011 |
Notice of Filing and Immediate Effectiveness of a 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 July 31, 2012
Comments due: January 20, 2012
|
SR-NYSEAmex-2011-101 |
|
34-66043 |
Dec. 23, 2011 |
Notice of Filing of Proposed Rule Change Amending NYSE Amex Equities Rules 504 and 509 to Modify the Quoting Requirements Applicable to Designated Market Maker Units Registered in Nasdaq Stock Market Securities Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges
Comments due: January 20, 2012
|
SR-NYSEAmex-2011-100 |
|
34-66044 |
Dec. 23, 2011 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending NYSE Amex Equities Rule 103B, Which Governs the Allocation of Securities to DMMs
Comments due: January 20, 2012
|
SR-NYSEAmex-2011-99 |
|
34-66032 |
Dec. 22, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Supplementary Material .26 (Pegging for d-Quotes and e-Quotes) to NYSE Amex Equities Rule 70
Comments due: January 19, 2012
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-86 |
|
34-66036 |
Dec. 22, 2011 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes to Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers
Additional File No.: SR-NYSE-2011-56
See also:
Order: Rel. No. 34-67437;
Notice: Rel. No. 34-66981;
Order: Rel. No. 34-66397; and
Notice: Rel. No. 34-65735
|
SR-NYSEAmex-2011-97 |
|
34-66006 |
Dec. 20, 2011 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Amendment to NYSE Amex Rule 452 and Corresponding Section 723 of the Company Guide and Amex Rule 577 Relating to Discretionary Proxy Voting on Executive Compensation Matters
Comments due: January 17, 2012
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-84 |
|
34-66003 |
Dec. 19, 2011 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes Adopting New NYSE Rule 107C to Establish a Retail Liquidity Program on a Pilot Basis to Attract Additional Retail Order Flow to the Exchange for NYSE-listed Securities and New NYSE Amex Equities Rule 107C to Establish a Retail Liquidity Program on a Pilot Basis to Attract Additional Retail Order Flow to the Exchange for NYSE Amex Equities Traded Securities
Additional File No.: SR-NYSE-2011-55
See also:
Order: Rel. No. 34-79587, Order: Rel. No. 34-70085,
Order: Rel. No. 34-67347,
Notice: Rel. No. 34-66928,
Notice: Rel. No. 34-66464,
Order: Rel. No. 34-66346,
Notice: Rel. No. 34-65671
Comments received
are available
for this proposal.
|
SR-NYSEAmex-2011-98 |
|
34-65978 |
Dec. 15, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to NYSE Amex Options Rule 960NY In Order to Extend the Penny Pilot In Options Classes In Certain Issues Through June 30, 2012
Comments due: January 11, 2012
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-82 |
|
34-65975 |
Dec. 15, 2011 |
Order Approving a Proposed Rule Change Expanding the Scope of Potential ?Users? of Its Co-Location Services to Include Any Market Participant that Requests to Receive Co-Location Services Directly from the Exchange and Amending its Fee Schedule to Establish a Fee for Users that Host their Customers at the Exchange?s Data Center
See also:
Notice: Rel. No. 34-65626
|
SR-NYSEAmex-2011-81 |
|
34-65974 |
Dec. 15, 2011 |
Order Approving a Proposed Rule Change Expanding the Scope of Potential ?Users? of Its Co-Location Services to Include Any Market Participant that Requests to Receive Co-Location Services Directly from the Exchange and Amending its Price List to Establish a Fee for Users that Host their Customers at the Exchange?s Data Center
See also:
Notice: Rel. No. 34-65627
|
SR-NYSEAmex-2011-93 |
|
34-65953 |
Dec. 14, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting the Text of Financial Industry Regulatory Authority Rule 5210, Which Prohibits the Publication of Manipulative or Deceptive Quotations or Transactions, as NYSE Amex Equities Rule 5210
Comments due: January 12, 2012
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-95 |
|
34-65943 |
Dec. 13, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule
Comments due: January 9, 2012
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-96 |
|
34-65933 |
Dec. 9, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule
Comments due: January 5, 2012
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-94 |
|
34-65928 |
Dec. 9, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule
Comments due: January 5, 2012
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-92 |
|
34-65893 |
Dec. 5, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Specifying in Its Rules an Existing Policy Related to the Application of NYSE Amex Options Rule 935NY
Comments due: December 30, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-91 |
|
34-65887 |
Dec. 5, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 72 Priority of Bids and Offers and Allocation of Executions
Comments due: December 30, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAMEX-2011-90 |
|
34-65864 |
Dec. 2, 2011 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend NYSE Rule 104(a)(1)(A) to reflect that Designated Market Maker Unit Quoting Requirements Are Based on Consolidated Average Daily Volume
Comments due: December 29, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-88 |
|
34-65811 |
Nov. 23, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 80C to Exclude All Rights and Warrants From the Single Stock Circuit Breaker Under the Rule
Comments due: December 21, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-89 |
|
34-65805 |
Nov. 22, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase from 20 to 30 the Number of Short Term Options Series That May Be Opened for Each Option Class that Participates in the Exchange's Short Term Option Series Program
Comments due: December 20, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-87 |
|
34-65793 |
Nov. 18, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Correcting an Error by Renumbering the Subsections of Section 101 of the Company Guide
Comments due: December 16, 2011
|
SR-NYSEAmex-2011-73 |
|
34-65770 |
Nov. 17, 2011 |
Notice of Designation Of a Longer Period for Commission Action on Proposed Rules Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.: SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEArca-2011-68, SR-Phlx-2011-129
See also:
Order: Rel. No. 34-67090;
Notice: Rel. No 34-66680;
Order: Rel. No. 34-66065; and
Notice: Rel. No. 34-65432
Comments received
are available
for this proposal.
|
SR-NYSEAmex-2011-86 |
|
34-65735 |
Nov. 10, 2011 |
Notice of Filing of Proposed Rule Change to Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers
Comments due: December 8, 2011
Additional Materials:
Exhibit 5
See also:
Notice: Rel. No. 34-66981;
Order: Rel. No. 34-66397; and
Notice: Rel. No. 34-66036
|
SR-NYSEAmex-2011-55 |
|
34-65710 |
Nov. 8, 2011 |
Notice and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment No. 2, Amending Section 101 of the NYSE Amex Company Guide To Adopt Additional Listing Requirements for Companies Applying to List After Consummation of a "Reverse Merger" With a Shell Company
Comments due: December 6, 2011
Additional Materials:
Exhibit 4;
Exhibit 5
|
SR-NYSEAMEX-2011-84 |
|
34-65671 |
Nov. 2, 2011 |
Notice of Filing of Rule Change Proposing a One-Year Pilot Program Adding New Rule 107C to Establish a Retail Liquidity Program to Attract Additional Retail Order Flow to the Exchange for NYSE Amex Equities Traded Securities
Comments due: November 30, 2011
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-79587, Order: Rel. No. 34-70085,
Order: Rel. No. 34-67347,
Notice: Rel. No. 34-66928,
Notice: Rel. No. 34-66464,
Order: Rel. No. 34-66346,
Notice: Rel. No. 34-66003
Comments received
are available
for this proposal.
See also:
Application for Exemptive Relief |
SR-NYSEAmex-2011-81 |
|
34-65627 |
Oct. 26, 2011 |
Notice of Filing of Proposed Rule Change Expanding the Scope of Potential "Users" of Its Co-Location Services to Include Any Market Participant that Requests to Receive Co-Location Services Directly from the Exchange and Amending its Price List to Establish a Fee for Users that Host their Customers at the Exchange's Data Center
Comments due: November 22, 2011
See also:
Order: Rel. No. 34-65974
|
SR-NYSEAmex-2011-82 |
|
34-65626 |
Oct. 26, 2011 |
Notice of Filing of Proposed Rule Change Expanding the Scope of Potential "Users" of Its Co-Location Services to Include Any Market Participant that Requests to Receive Co-Location Services Directly from the Exchange and Amending its Price List to Establish a Fee for Users that Host their Customers at the Exchange's Data Center
Comments due: November 22, 2011
See also:
Order: Rel. No. 34-65975
|
SR-NYSEAmex-2011-80 |
|
34-65590 |
Oct. 19, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Retire a Pilot Program and Harmonize the Exchange's Rules Regarding Listing Expirations with the Existing Rules of Other Exchanges
Comments due: November 15, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-78 |
|
34-65563 |
Oct. 14, 2011 |
Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction in which Its Indirect Parent, NYSE Euronext, Will Become a Wholly Owned Subsidiary of Alpha Beta Netherlands Holding N.V.
Comments due: November 10, 2011
Additional Materials:
Exhibit 5A;
Exhibit 5B;
Exhibit 5C;
Exhibit 5D;
Exhibit 5E;
Exhibit 5F;
Exhibit 5G;
Exhibit 5H;
Exhibit 5I;
Exhibit 5J;
Exhibit 5K;
Exhibit 5L;
Exhibit 5M;
Exhibit 5N;
Exhibit 5O;
Exhibit 5P;
Exhibit 5Q
See also:
Order: Rel. No. 34-66171
Comments received
are available
for this notice.
|
SR-NYSEAmex-2011-61 |
|
34-65572 |
Oct. 14, 2011 |
Order Granting Approval of Proposed Rule Change Adding Commentary .01 to Rule 925.1NY Concerning Market Maker Continuous Quoting Obligations and Adjusted Option Series
See also:
Notice: Rel. No. 34-65209
|
SR-NYSEAmex-2011-77 |
|
34-65549 |
Oct. 13, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Amendments to the NYSE Amex Options Fee Schedule Relating to Electronic Complex Orders
Comments due: November 9, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-74 |
|
34-65524 |
Oct. 7, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Amex Equities Rules 132A, 132B, and 132C, Adopting the Text of the FINRA Rule 7400 Series, the Order Audit Trail System ("OATS") Rules, and Making Certain Conforming Changes
Comments due: November 7, 2011
|
SR-NYSEAmex-2011-76 |
|
34-65505 |
Oct. 6, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Options Rule 975NY (Obvious and Catastrophic Errors)
Comments due: November 4, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-72 |
|
34-65472 |
Oct. 3, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Relating to Fees Applicable to Qualified Contingent Cross Orders in the Options Fee Schedule
Comments due: November 1, 2011
Additional Materials:
Exhibit 5
|
| Third Quarter |
SR-NYSEAmex-2011-64 |
|
34-65451 |
Sep. 30, 2011 |
Order Approving a Proposed Rule Change Amending NYSE Amex Options Rule 993NY(b)(2) to Make Permanent the Pilot Program that Permits the Exchange to Accept Inbound Orders Routed by Archipelago Securities LLC in Its Capacity as a Facility of Affiliated exchanges and to Clarify the Text of NYSE Amex Options Rule 993NY(b)(1)(B) to More Accurately Reflect the Regulatory Services Agreement between the Exchange and the Financial Industry Regulatory Authority
See also:
Notice: Rel. No. 34-65181
|
SR-NYSEAmex-2011-63 |
|
34-65457 |
Sep. 30, 2011 |
Order Approving a Proposed Rule Change Amending NYSE Amex Equities Rule 17(c)(2)(B) to Make Permanent the Pilot Program that Permits the Exchange to Accept Inbound Orders Routed by Archipelago Securities LLC in Its Capacity as a Facility of Affiliated exchanges and to Clarify the NYSE Amex Equities Rule 17(c)(2)(A)(ii) to More Accurately Reflect the Regulatory Services Agreement between the Exchange and the Financial Industry Regulatory Authority
See also:
Notice: Rel. No. 34-65184
|
SR-NYSEAmex-2011-73 |
|
34-65432 |
Sep. 28, 2011 |
Notice of Filing of Proposed Rule Change Amending NYSE Amex Equities Rule 80B to Revise the Current Methodology for Determining When to Halt Trading in All Stocks Due to Extraordinary Market Volatility
Comments due: October 25, 2011
See also:
Order: Rel. No. 34-67090;
Notice: Rel. No 34-66680;
Order: Rel. No. 34-66065; and
Notice: Rel. No. 34-65770
Comments received
are available
for this notice.
|
SR-NYSEAmex-2011-70 |
|
34-65421 |
Sep. 28, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .06 to Rule 903 in Order to Simplify the $1 Strike Price Program
Comments due: October 25, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-55 |
|
34-65369 |
Sep. 21, 2011 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Section 101 of the NYSE Amex Company Guide to Adopt Additional Listing Requirements for Companies Applying to List After Consummation of a "Reverse Merger" with a Shell Company
See also:
Notice: Rel. No. 34-65033
|
SR-NYSEAmex-2011-68 |
|
34-65341 |
Sep. 14, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Messages to Contracts Traded Ratio Fee in the Options Fee Schedule
Comments due: October 12, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-69 |
|
34-65314 |
Sep. 12, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Options Fee Schedule to Add Clarifying Language with Respect to Marketing Charges Generally and Marketing Charges for Directed Orders, and to Add New and Clarifying Language with Respect to Marketing Charges for Electronic Complex Orders
Comments due: October 7, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-67 |
|
34-65283 |
Sep. 7, 2011 |
Notice of Filing of Proposed Rule Change Relating to Fees for Trading Securities Listed on the Nasdaq Stock Market LLC Pursuant to Unlisted Trading Privileges
Comments due: October 5, 2011
Additional Material:
Exhibit 5
|
SR-NYSEAmex-2011-66 |
|
34-65239 |
Aug. 31, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Options Fee Schedule for Co-Location Services to Correct Several Typographical Errors
Comments due: September 28, 2011
|
SR-NYSEAmex-2011-65 |
|
34-65240 |
Aug. 31, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Equities Price List for Co-Location Services to Correct Several Typographical Errors
Comments due: September 28, 2011
|
SR-NYSEAmex-2011-61 |
|
34-65209 |
Aug. 26, 2011 |
Notice of Filing of Proposed Rule Change Adding Commentary .01 to Rule 925.1NY to Indicate that Market Makers will not be Obligated to Quote in Adjusted Option Series and to Clarify an Existing Exception to the Quoting Obligations
Comments due: September 22, 2011
See also:
Order: Rel. No. 34-65572
|
SR-NYSEAmex-2011-62 |
|
34-65192 |
Aug. 24, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding New Commentary .02 to NYSE Amex Options Rule 965NY to Provide for the Nullification of Reported Trades by Mutual Agreement of the Parties Thereto
Comments due: September 21, 2011
Additional Material:
Exhibit 5
|
SR-NYSEAmex-2011-64 |
|
34-65181 |
Aug. 22, 2011 |
Notice of Filing of Proposed Rule Change Amending NYSE Arca Options Rule 6.96(b)(2) to Make Permanent the Pilot Program that Permits the Exchange to Accept Inbound Orders Routed by Archipelago Securities LLC in Its Capacity as a Facility of Affiliated exchanges and to Clarify the Text of NYSE Arca Options Rule 6.96(b)(1)(B) to More Accurately Reflect the Regulatory Services Agreement between the Exchange and the Financial Industry Regulatory Authority
Comments due: September 16, 2011
Additional Material:
Exhibit 5
|
SR-NYSEAmex-2011-63 |
|
34-65184 |
Aug. 22, 2011 |
Notice of Filing of Proposed Rule Change Amending NYSE Amex Equities Rule 17(c)(2)(B) to Make Permanent the Pilot Program that Permits the Exchange to Accept Inbound Orders Routed by Archipelago Securities LLC in Its Capacity as a Facility of Affiliated exchanges and to Clarify the NYSE Amex Equities Rule 17(c)(2)(A)(ii) to More Accurately Reflect the Regulatory Services Agreement between the Exchange and the Financial Industry Regulatory Authority
Comments due: September 16, 2011
Additional Material:
Exhibit 5
|
SR-NYSEAmex-2011-59 |
|
34-65165 |
Aug. 18, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting the Text of NYSE Amex Equities Rules 92, 513, 514 and Adopting New NYSE Amex Equities Rule 5320 that is Substantially the Same as Financial Industry Regulatory Authority Rule 5320 to Prohibit Trading Ahead of Customer Orders with Certain Exceptions (commonly known as the Manning Rule)
Comments due: September 14, 2011
Additional Materials:
Exhibit 2a;
Exhibit 2b;
Exhibit 2c;
Exhibit 5
|
SR-NYSEAmex-2011-60 |
|
34-65102 |
Aug. 11, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 128 so that Clearly Erroneous Executions Involving Securities Recently Added to the Individual Security Trading Pause Pilot under NYSE Amex Equities Rule 80C Continue to be Resolved in the Same Manner Before Being Added to the Pilot
Comments due: September 7, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-57 |
|
34-65089 |
Aug. 10, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 80C, Which Provides for Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, to Extend the Pilot until January 31, 2012
Comments due: September 6, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-58 |
|
34-65066 |
Aug. 6, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 128, Clearly Erroneous Executions, to Extend the Effective Date of the Pilot Until January 31, 2012
Comments due: September 6, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-56 |
|
34-65047 |
Aug. 6, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Options Rule 985NY to Permit Qualified Contingent Cross Orders to be Electronically Submitted to the NYSE Amex System from the Floor of the Exchange for Potential Execution
Comments due: September 1, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-55 |
|
34-65033 |
Aug. 4, 2011 |
Notice of Filing of Proposed Rule Change Amending Section 101 of the NYSE Amex Company Guide to Adopt Additional Listing Requirements for Companies Applying to List After Consummation of a "Reverse Merger" with a Shell Company
Comments due: August 31, 2011
See also:
Notice: Rel. No. 34-65369
Comments received
are available
for this notice.
|
SR-NYSEAmex-2011-54 |
|
34-64987 |
Jul. 29, 2011 |
Notice of Filing of Proposed Rule Change Amending the Definition of Approved Person to Exclude Foreign Affiliates, Creating a New Definition of "Foreign Securities Affiliate," Eliminating the Application Process for Approved Persons, and Making Related Technical and Conforming Changes
Comments due: August 24, 2011
|
SR-NYSEAmex-2011-50 |
|
34-64966 |
Jul. 26, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .07 to NYSE Amex Rule 904 to Increase Position Limits for Options on the SPDR® S&P 500® Exchange-Traded Fund, which List and Trade under the Option Symbol SPY, and to Update the Names and One Trading Symbol for the Options Reflected therein, Including SPY
Comments due: August 22, 2011
|
SR-NYSEAmex-2011-53 |
|
34-64907 |
Jul. 18, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Options Rule 993NY to Make Changes Necessary to Allow Its Routing Broker to Operate Consistent with the Requirements of Rule 15c3-5 Under the Securities Exchange Act of 1934
Comments due: August 12, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-52 |
|
34-64908 |
Jul. 18, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 17 ? NYSE Amex Equities to Make Changes Necessary to Allow Its Routing Broker to Operate Consistent with the Requirements of Rule 15c3-5 Under the Securities Exchange Act of 1934
Comments due: August 12, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-49 |
|
34-64902 |
Jul. 18, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Proposal to amend the Fee Schedule by adding Definitions for the Strategy Executions that Qualify for Transaction Fee Caps
Comments due: August 12, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-51 |
|
34-64887 |
Jul. 14, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Conforming Certain of its Financial Responsibility and Related Operational Rules to a Recently-Approved Financial Industry Regulatory Authority Rule Change
Comments due: August 10, 2011
|
SR-NYSEAmex-2011-47 |
|
34-64859 |
Jul. 12, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operative Date of NYSE Amex Equities Rule 92(c)(3) from August 1, 2011 to September 12, 2011
Comments due: August 8, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-34 |
|
34-64844 |
Jul. 8, 2011 |
Order Approving a Proposed Rule Change Amending NYSE Amex Equities Rule 70.40(3) to Permit Member Organizations to Engage in Proprietary Trading from Their Approved Booth Premises in Certain OTC Bulletin Board and OTC Markets Securities
See also:
Notice: Rel. No. 34-64521
|
SR-NYSEAmex-2011-46 |
|
34-64797 |
Jul. 1, 2011 |
NNotice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 1000(a)(iv) to Provide For a Different Liquidity Replenishment Point Value Range During the First Day of Trading of An Initial Public Offering on the Exchange
Comments due: 21 days after publication in the Federal Register
Additional Materials:
Exhibit 5
|
| Second Quarter |
SR-NYSEAmex-2011-42 |
|
34-64784 |
Jun. 30, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Amex Equities Rule 351(a)-(d) and Supplementary Material .10 and .13, Adopting the Text of FINRA Rule 4530, and Making Certain Conforming Changes
Comments due: July 28, 2011
|
SR-NYSEAmex-2011-41 |
|
34-64783 |
Jun. 30, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting the Text of Rule 409(f) - NYSE Amex Equities and Adopting the Text of FINRA Rule 2232
Comments due: July 28, 2011
|
SR-NYSEAmex-2011-43 |
|
34-64773 |
Jun. 29, 2011 |
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 January 31, 2012
Comments due: July 27, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-44 |
|
34-64772 |
Jun. 29, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot Until the Earlier of the Securities and Exchange Commission's Approval to Make Such Pilot Permanent or January 31, 2012
Comments due: July 27, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-45 |
|
34-64746 |
Jun. 24, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Operation of the Pilot Program that Allows Nasdaq Stock Market Securities to be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges
Comments due: July 21, 2011
|
SR-NYSEAmex-2011-18 |
|
34-64742 |
Jun. 24, 2011 |
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Formation of a Joint Venture Between the Exchange, Its Ultimate Parent NYSE Euronext, and Seven Other Entities to Operate an Electronic Trading Facility for Options Contracts
See also:
Notice: Rel. No. 34-64511;
Notice: Rel. No. 34-64144
|
SR-NYSEAmex-2011-32 |
|
34-64735 |
Jun. 23, 2011 |
Order Approving Proposed Rule Changes Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to all NMS stocks
Additional File Nos.: SR-BATS-2011-016; SR-BYX-2011-011; SR-BX-2011-025; SR-CBOE-2011-049; SR-CHX-2011-09; SR-EDGA-2011-15; SR-EDGX-2011-14; SR-FINRA-2011-023; SR-ISE-2011-028; SR-NASDAQ-2011-067; SR-NYSE-2011-21; SR-NYSEArca-2011-26; SR-NSX-2011-06; SR-Phlx-2011-64
See also:
Notice: Rel. No. 34-64421
|
SR-NYSEAmex-2011-40 |
|
34-64732 |
Jun. 23, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Include Text in Its Options Rules Governing the Use of Its Affiliate Broker-Dealer, Archipelago Securities LLC for Outbound Routing of Option Orders, and to Adopt Text in Its Options Rules to Permit the Exchange to Receive Inbound Routes of Option Orders from Arca Securities, Acting as the Outbound Router for NYSE Arca, Inc.
Comments due: July 20, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-39 |
|
34-64728 |
Jun. 23, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 17 - NYSE Amex Equities to Codify Inbound Routing Functions Performed by Its Affiliate Broker-Dealer, Archipelago Securities LLC
Comments due: July 20, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-38 |
|
34-64693 |
Jun. 16, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 903G to Permit the Exchange to List Flexible Exchange Options on Index and Equity Securities that are Eligible for Non-FLEX Options Trading, and that have Non-FLEX Options on Such Index and Equity Securities Listed and Traded on at Least One National Securities Exchange, Even If the Exchange Does Not List Such Non-FLEX Options
Comments due: July 13, 2011
|
SR-NYSEAmex-2011-36 |
|
34-64656 |
Jun. 13, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule to Adopt a Monthly Fee Cap and Related Service Fee for All Member Firm Proprietary Transactions Executed in Open Outcry and to Increase Both the Existing Monthly Fee Cap and a Related Trading Volume Threshold Applicable to Market Makers
Comments due: July 8, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-37 |
|
34-64655 |
Jun. 13, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule to Establish a New Fee Designed to Encourage Efficient Use of Bandwidth by ATP Firms and to Rename a Related Existing Fee
Comments due: July 8, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-35 |
|
34-64581 |
Jun. 2, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fees Relating to the Sale of Trading Licenses
Comments due: June 29, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-20 |
|
34-64543 |
May 25, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Revenue Sharing Program with Correlix, Inc. and a Free Trial Period for New Users of the Correlix Service
Comments due: June 22, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-30 |
|
34-64524 |
May 19, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Fee Schedule With Respect to Electronic Complex Order Executions
Comments due: June 15, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-34 |
|
34-64521 |
May 19, 2011 |
Notice of Filing of Proposed Rule Change Amending NYSE Amex Equities Rule 70.40(3) to Permit Member Organizations to Engage in Proprietary Trading From Their Approved Booth Premises in Certain OTC Bulletin Board and OTC Markets Securities
Comments due: June 15, 2011
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-64844
|
SR-NYSEAmex-2011-33 |
|
34-64519 |
May 19, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC to Permit the Listing of Additional Expiration Months if Such Expiration Months Are Listed on Another Exchange
Comments due: June 15, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-18 |
|
34-64511 |
May 18, 2011 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to the Formation of a Joint Venture Between the Exchange, Its Ultimate Parent NYSE Euronext, and Seven Other Entities to Operate an Electronic Trading Facility for Options Contracts
See also:
Order: Rel. No. 34-64742;
Notice: Rel. No. 34-64144
|
SR-NYSEAmex-2011-32 |
|
34-64421 |
May 6, 2011 |
Notice of Filing of Proposed Rule Change Amending Rule 80C - NYSE Amex Equities to Include Additional Securities in the Pilot by Which Such Rule Operates and Amending Rule 104 - NYSE Amex Equities to Simplify Certain Aspects of the Text While Also Conforming Certain of the Percentages Thereunder to the Proposed Changes to Rule 80C
Comments due: June 2, 2011
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-64735
|
SR-NYSEAmex-2011-31 |
|
34-64404 |
May 4, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Extend Its Program That Allows Transactions to Take Place at a Price That Is Below $1 Per Option Contract Until June 1, 2012
Comments due: May 31, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-27 |
|
34-64400 |
May 4, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Fee Schedule to Eliminate Registered Representative Fees for Amex Trading Permit ("ATP") Holders and to Institute a New Transaction-Based "Options Regulatory Fee"
Comments due: May 31, 2011
Additional Materials:
Exhibit 5
Comments received
are available
for this notice.
|
SR-NYSEAmex-2011-29 |
|
34-64350 |
Apr. 27, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 440B (Short Sales) to Modify the Exchange's Procedures for Early Termination of the Short Sale Price Test Restrictions of Rule 201 of Regulation SHO Based on a Triggering Transaction that Another Exchange or a Self-Regulatory Organization Has Determined Was a Clearly Erroneous Execution
Comments due: May 24, 2011
|
SR-NYSEAmex-2011-25 |
|
34-64335 |
Apr. 25, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 72(d) Regarding Agency Cross Transactions
Comments due: May 20, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-26 |
|
34-64325 |
Apr. 22, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit the Listing of Series with $0.50 and $1 Strike Price Increments on Certain Options Used to Calculate Volatility Indexes
Comments due: May 18, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-11 |
|
34-64321 |
Apr. 21, 2011 |
Order Approving a Proposed Rule Change Amending Rule 103B - NYSE Amex Equities to Modify the Application of the Exchange's Designated Market Maker Allocation Policy in the Event of a Merger Involving One or More Listed Companies
See also:
Notice: Rel. No. 34-64040;
Notice: Rel. No. 34-64274
|
SR-NYSEAmex-2011-11 |
|
34-64274 |
Apr. 8, 2011 |
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Amending Rule 103B - NYSE Amex Equities to Modify the Application of the Exchange's Designated Market Maker Allocation Policy in the Event of a Merger Involving One or More Listed Companies
See also:
Notice: Rel. No. 34-64040;
Order: Rel. No. 34-64321
|
SR-NYSEAmex-2011-24 |
|
34-64233 |
Apr. 7, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 128, Clearly Erroneous Executions, to Extend the Effective Date of the Pilot Until the Earlier of August 11, 2011 or The Date on Which a Limit Up/Limit Down Mechanism to Address Extraordinary Market Volatility, if Adopted, Applies
Comments due: May 4, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-23 |
|
34-64206 |
Apr. 6, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 80C, Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, to Extend the Effective Date of the Pilot Until the Earlier of August 11, 2011 or the Date on Which a Limit Up/Limit Down Mechanism to Address Extraordinary Market Volatility, If Adopted, Applies
Comments due: May 3, 2011
|
SR-NYSEAmex-2011-021 |
|
34-64195 |
Apr. 5, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Exchange Price List
Comments due: May 3, 2011
Additional Materials:
Exhibit 5
|
| First Quarter |
SR-NYSEAmex-2011-22 |
|
34-64163 |
Mar. 31, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC to Expand the $2.50 Strike Price Program
Comments due: April 27, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-18 |
|
34-64144 |
Mar. 29, 2011 |
Notice of Filing of Proposed Rule Change Relating to the Formation of a Joint Venture Between the Exchange, Its Ultimate Parent NYSE Euronext, and Seven Other Entities to Operate an Electronic Trading Facility for Options Contracts
Comments due: April 25, 2011
Additional Materials:
Exhibit 5A;
Exhibit 5B
See also:
Order: Rel. No. 34-64742;
Notice: Rel. No. 34-64511
Comments received
are available
for this notice.
|
SR-NYSEAmex-2011-19 |
|
34-64133 |
Mar. 28, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 440B
Comments due: 21 days after publication in the Federal Register
|
SR-NYSEAmex-2011-17 |
|
34-64130 |
Mar. 28, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting Rule 346 - NYSE Amex Equities and Adopting New Rule 3270 - NYSE Amex Equities to Correspond with Rule Changes Filed by the Financial Industry Regulatory Authority, Inc.
Comments due: April 22, 2011
|
SR-NYSEAmex-2011-15 |
|
34-64107 |
Mar. 22, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Operation of its Pilot Program regarding Minimum Value Sizes for Flexible Exchange Options
Comments due: April 18, 2011
|
SR-NYSEAmex-2011-16 |
|
34-64089 |
Mar. 17, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 36 to Permit Written Communications to be Sent Electronically Between the Designated Market Maker Unit's Post Location on The Floor and the DMM Unit's Off-Floor Offices and to Persons Permitted to Provide Non-Trading Related Services to the DMM Under NYSE Amex Equities Rule 98
Comments due: April 12, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-14 |
|
34-64085 |
Mar. 17, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting Rules Related to Qualified Contingent Cross Orders
Comments due: April 12, 2011
|
SR-NYSEAmex-2011-11 |
|
34-64040 |
Mar. 4, 2011 |
Notice of Filing of Proposed Rule Change Amending Rule 103B - NYSE Amex Equities to Modify the Application of the Exchange's Designated Market Maker Allocation Policy in the Event of a Merger Involving One or More Listed Companies
Comments due: March 31, 2011
Additional Materials:
Exhibit 5
See also:
Notice: Rel. No. 34-64274;
Order: Rel. No. 34-64321
|
SR-NYSEAmex-2011-10 |
|
34-64014 |
Mar. 2, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period of the Exchange's Prior Approvals to Receive Inbound Routes of Equities Orders from Archipelago Securities LLC
Comments due: March 29, 2011
|
SR-NYSEAmex-2011-08 |
|
34-63974 |
Feb. 25, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 440B (Short Sales) in Order to Implement the Provisions of Rule 201 of Regulation SHO Under the Securities Exchange Act of 1934
Comments due: March 25, 2011
|
SR-NYSEAmex-2011-09 |
|
34-63972 |
Feb. 25, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting Supplementary Material .20 to NYSE Amex Equities Rule 123C to Provide for the Treatment of Short Sale Orders at the Close
Comments due: March 25, 2011
|
SR-NYSEAmex-2011-06 |
|
34-63943 |
Feb. 22, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change in Connection with the Proposal of NYSE Euronext to Eliminate the Requirement of an 80% Supermajority Vote to Amend or Repeal Section 3.1 of its Bylaws
Comments due: March 22, 2011
|
SR-NYSEAmex-2011-07 |
|
34-63935 |
Feb. 18, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange Price List
Comments due: March 18, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2010-109 |
|
34-63773 |
Jan. 25, 2011 |
Order Granting Approval of Proposed Rule Change Regarding the Listing of Options Series with $1 Strike Prices
See also:
Notice: Rel. No. 34-63463
|
SR-NYSEAmex-2011-04 |
|
34-63752 |
Jan. 21, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Criteria for Listing Special Purpose Acquisition Companies (SPACs) to Provide an Option to Hold a Tender Offer in Lieu of a Shareholder Vote on a Proposed Acquisition
Comments due: February 18, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-05 |
|
34-63746 |
Jan. 20, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting Standards for Market maker Electronic Quotes That Are Present During an Opening Auction
Comments due: February 17, 2011
|
SR-NYSEAmex-2011-03 |
|
34-63708 |
Jan. 12, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC to Establish a $5 Strike Price Program
Comments due: February 10, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2010-125 |
|
34-63644 |
Jan. 5, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Exchange Price List
Comments due: February 1, 2011
Additional Materials:
Exhibit 5
|
| NYSEAmex File Number List for 2011 |
| Release No. |
Date |
Details |
SR-NYSEAmex-2011-108 |
|
34-66105 |
Jan. 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to eliminate the Clerk Badge Fee and the e-Broker Hand Held Device Fee
Comments due: February 1, 2012
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-107 |
|
34-66104 |
Jan. 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List Changing the Monthly Fees for the Use of Ports that Provide Connectivity to Its Equity Trading Systems
Comments due: February 1, 2012
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-106 |
|
34-66137 |
Jan. 11, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 128, Which Governs Clearly Erroneous Executions, to Extend the Effective Date of The Pilot by Which Portions of Such Rule Operate Until July 31, 2012
Comments due: February 8, 2012
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-105 |
|
34-66133 |
Jan. 11, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending NYSE Amex Equities Rule 80C, Which Provides for Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, to Extend the Effective Date of The Pilot Until July 31, 2012
Comments due: February 8, 2012
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-104 |
|
34-66040 |
Dec. 23, 2011 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending NYSE Amex Equities Rule 500 to Extend the Operation of the Pilot Program that Allows Nasdaq Stock Market Securities to be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges Until the Earlier of Securities and Exchange Commission Approval to Make Such Pilot Permanent or July 31, 2012
Comments due: January 20, 2012
|
SR-NYSEAmex-2011-103 |
|
34-66041 |
Dec. 23, 2011 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot Under Rule 107B Until the Earlier of the Securities and Exchange Commission's Approval to Make Such Pilot Permanent or July 31, 2012
Comments due: January 20, 2012
|
SR-NYSEAmex-2011-102 |
|
34-66042 |
Dec. 23, 2011 |
Notice of Filing and Immediate Effectiveness of a 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 July 31, 2012
Comments due: January 20, 2012
|
SR-NYSEAmex-2011-101 |
|
34-66043 |
Dec. 23, 2011 |
Notice of Filing of Proposed Rule Change Amending NYSE Amex Equities Rules 504 and 509 to Modify the Quoting Requirements Applicable to Designated Market Maker Units Registered in Nasdaq Stock Market Securities Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges
Comments due: January 20, 2012
|
SR-NYSEAmex-2011-100 |
|
34-66044 |
Dec. 23, 2011 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending NYSE Amex Equities Rule 103B, Which Governs the Allocation of Securities to DMMs
Comments due: January 20, 2012
|
SR-NYSEAmex-2011-99 |
|
34-66032 |
Dec. 22, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Supplementary Material .26 (Pegging for d-Quotes and e-Quotes) to NYSE Amex Equities Rule 70
Comments due: January 19, 2012
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-98 |
|
34-65978 |
Dec. 15, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to NYSE Amex Options Rule 960NY In Order to Extend the Penny Pilot In Options Classes In Certain Issues Through June 30, 2012
Comments due: January 11, 2012
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-97 |
|
34-66006 |
Dec. 20, 2011 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Amendment to NYSE Amex Rule 452 and Corresponding Section 723 of the Company Guide and Amex Rule 577 Relating to Discretionary Proxy Voting on Executive Compensation Matters
Comments due: January 17, 2012
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-96 |
|
34-65933 |
Dec. 9, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule
Comments due: January 5, 2012
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-95 |
|
34-65943 |
Dec. 13, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule
Comments due: January 9, 2012
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-94 |
|
34-65928 |
Dec. 9, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule
Comments due: January 5, 2012
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-93 |
|
34-65953 |
Dec. 14, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting the Text of Financial Industry Regulatory Authority Rule 5210, Which Prohibits the Publication of Manipulative or Deceptive Quotations or Transactions, as NYSE Amex Equities Rule 5210
Comments due: January 12, 2012
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-92 |
|
34-65893 |
Dec. 5, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Specifying in Its Rules an Existing Policy Related to the Application of NYSE Amex Options Rule 935NY
Comments due: December 30, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-91 |
|
34-65887 |
Dec. 5, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 72 Priority of Bids and Offers and Allocation of Executions
Comments due: December 30, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAMEX-2011-90 |
|
34-65864 |
Dec. 2, 2011 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend NYSE Rule 104(a)(1)(A) to reflect that Designated Market Maker Unit Quoting Requirements Are Based on Consolidated Average Daily Volume
Comments due: December 29, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-89 |
|
34-65805 |
Nov. 22, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase from 20 to 30 the Number of Short Term Options Series That May Be Opened for Each Option Class that Participates in the Exchange's Short Term Option Series Program
Comments due: December 20, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-88 |
|
34-65811 |
Nov. 23, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 80C to Exclude All Rights and Warrants From the Single Stock Circuit Breaker Under the Rule
Comments due: December 21, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-87 |
|
34-65793 |
Nov. 18, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Correcting an Error by Renumbering the Subsections of Section 101 of the Company Guide
Comments due: December 16, 2011
|
SR-NYSEAmex-2011-86 |
|
34-67437 |
Jul. 13, 2012 |
Order Disapproving Proposed Rule Changes to Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers and to Permit Designated Market Makers and Floor Brokers Access to Disaggregated Order Information
Additional File No.: SR-NYSE-2011-56
|
|
34-66981 |
May 14, 2012 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Changes to Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers and to Permit Designated Market Makers and Floor Brokers Access to Disaggregated Order Information
Additional File Nos.: SR-NYSE-2011-56
|
|
34-66397 |
Feb. 15, 2012 |
Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Changes to Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers and to Permit Designated Market Makers and Floor Brokers Access to Disaggregated Order Information
Comments due: March 14, 2012
Rebuttal comments due: March 28, 2012
Additional File No.: SR-NYSE-2011-56
Comments received
are available
for this proposal.
|
|
34-66036 |
Dec. 22, 2011 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes to Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers
Additional File No.: SR-NYSE-2011-56
|
|
34-65735 |
Nov. 10, 2011 |
Notice of Filing of Proposed Rule Change to Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers
Comments due: December 8, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-84 |
| 34-79587 |
Dec. 16, 2016 |
Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS In Connection With the Exchanges' Retail Liquidity Programs Until June 30, 2017
Additional File No.: SR-NYSE-2011-55 |
| 34-72732 |
Jul. 31, 2014 |
Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS In Connection With the Exchanges' Retail Liquidity Programs Until March 31, 2015
Additional File No.: SR-NYSE-2011-55
Comments received are available for this proposal.
See also:
Incoming Letter
|
|
34-70085 |
Jul. 31, 2013 |
Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS In Connection With the Exchanges' Retail Liquidity Programs
Additional File No.: SR-NYSE-2011-55
See also:
Incoming Letter
|
|
34-67347 |
Jul. 3, 2012 |
Order Granting Approval to Proposed Rule Changes, as Modified by Amendments Nos. 1 and 2, Adopting NYSE Rule 107C to Establish a Retail Liquidity Program for NYSE-Listed Securities on a Pilot Basis Until 12 Months From Implementation Date, and Adopting NYSE Amex Rule 107C to Establish a Retail Liquidity Program for NYSE Amex Equities Traded Securities on a Pilot Basis Until 12 Months From Implementation Date, and Granting Exemptions Pursuant to Rule 612(c) of Regulation NMS
Additional File Nos.: SR-NYSE-2011-55
|
|
34-66928 |
May 4, 2012 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Changes, as Modified by Amendments Nos. 1 and 2, Adopting NYSE Rule 107C to Establish a Retail Liquidity Program for NYSE-Listed Securities on a Pilot Basis Until 12 Months From Implementation Date, and Adopting NYSE Amex Rule 107C to Establish a Retail Liquidity Program for NYSE Amex Equities Traded Securities on a Pilot Basis Until 12 Months From Implementation Date
|
|
34-66464 |
Feb. 24, 2012 |
Notice of Filing of Partial Amendment No. 2 to Proposed Rule Changes, As Modified By Amendment No. 1, Adopting New Rule 107C to Establish a Retail Liquidity Program on a Pilot Basis to Attract Additional Retail Order Flow to the Exchanges
Comments due: March 22, 2012
|
|
34-66346 |
Feb. 7, 2012 |
Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Changes, as Modified by Amendments No. 1, Adopting NYSE Rule 107C to Establish a Retail Liquidity Program for NYSE-Listed Securities on a Pilot Basis Until 12 months From Implementation Date, Which Shall Occur No Later Than 90 Days After Approval, If Granted and Adopting NYSE Amex Rule 107C to Establish a Retail Liquidity Program for NYSE Amex Equities Traded Securities on a Pilot Basis Until 12 months From Implementation Date, Which Shall Occur No Later Than 90 Days After Approval, If Granted
Additional File No.: SR-NYSE-2011-55
Comments due: March 5, 2012
Comments received
are available
for this notice.
|
|
34-66003 |
Dec. 19, 2011 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes Adopting New NYSE Rule 107C to Establish a Retail Liquidity Program on a Pilot Basis to Attract Additional Retail Order Flow to the Exchange for NYSE-listed Securities and New NYSE Amex Equities Rule 107C to Establish a Retail Liquidity Program on a Pilot Basis to Attract Additional Retail Order Flow to the Exchange for NYSE Amex Equities Traded Securities
Additional File No.: SR-NYSE-2011-55
Comments received
are available
for this proposal.
|
|
34-65671 |
Nov. 2, 2011 |
Notice of Filing of Rule Change Proposing a One-Year Pilot Program Adding New Rule 107C to Establish a Retail Liquidity Program to Attract Additional Retail Order Flow to the Exchange for NYSE Amex Equities Traded Securities
Comments due: November 30, 2011
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
See also:
Application for Exemptive Relief |
SR-NYSEAmex-2011-82 |
|
34-65975 |
Dec. 15, 2011 |
Order Approving a Proposed Rule Change Expanding the Scope of Potential ?Users? of Its Co-Location Services to Include Any Market Participant that Requests to Receive Co-Location Services Directly from the Exchange and Amending its Fee Schedule to Establish a Fee for Users that Host their Customers at the Exchange?s Data Center
|
|
34-65626 |
Oct. 26, 2011 |
Notice of Filing of Proposed Rule Change Expanding the Scope of Potential "Users" of Its Co-Location Services to Include Any Market Participant that Requests to Receive Co-Location Services Directly from the Exchange and Amending its Price List to Establish a Fee for Users that Host their Customers at the Exchange's Data Center
Comments due: November 22, 2011
|
SR-NYSEAmex-2011-81 |
|
34-65974 |
Dec. 15, 2011 |
Order Approving a Proposed Rule Change Expanding the Scope of Potential ?Users? of Its Co-Location Services to Include Any Market Participant that Requests to Receive Co-Location Services Directly from the Exchange and Amending its Price List to Establish a Fee for Users that Host their Customers at the Exchange?s Data Center
|
|
34-65627 |
Oct. 26, 2011 |
Notice of Filing of Proposed Rule Change Expanding the Scope of Potential "Users" of Its Co-Location Services to Include Any Market Participant that Requests to Receive Co-Location Services Directly from the Exchange and Amending its Price List to Establish a Fee for Users that Host their Customers at the Exchange's Data Center
Comments due: November 22, 2011
|
SR-NYSEAmex-2011-80 |
|
34-65590 |
Oct. 19, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Retire a Pilot Program and Harmonize the Exchange's Rules Regarding Listing Expirations with the Existing Rules of Other Exchanges
Comments due: November 15, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-78 |
|
34-66171 |
Jan. 17, 2012 |
Order Granting Approval of Proposed Rule Change Relating to a Corporate Transaction in which Deutsche Börse AG and NYSE Euronext Would Become Subsidiaries of Alpha Beta Netherlands Holding N.V.
|
|
34-65563 |
Oct. 14, 2011 |
Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction in which Its Indirect Parent, NYSE Euronext, Will Become a Wholly Owned Subsidiary of Alpha Beta Netherlands Holding N.V.
Comments due: November 10, 2011
Additional Materials:
Exhibit 5A;
Exhibit 5B;
Exhibit 5C;
Exhibit 5D;
Exhibit 5E;
Exhibit 5F;
Exhibit 5G;
Exhibit 5H;
Exhibit 5I;
Exhibit 5J;
Exhibit 5K;
Exhibit 5L;
Exhibit 5M;
Exhibit 5N;
Exhibit 5O;
Exhibit 5P;
Exhibit 5Q
Comments received
are available
for this notice.
|
SR-NYSEAmex-2011-77 |
|
34-65549 |
Oct. 13, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Amendments to the NYSE Amex Options Fee Schedule Relating to Electronic Complex Orders
Comments due: November 9, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-76 |
|
34-65505 |
Oct. 6, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Options Rule 975NY (Obvious and Catastrophic Errors)
Comments due: November 4, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-74 |
|
34-65524 |
Oct. 7, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Amex Equities Rules 132A, 132B, and 132C, Adopting the Text of the FINRA Rule 7400 Series, the Order Audit Trail System ("OATS") Rules, and Making Certain Conforming Changes
Comments due: November 7, 2011
|
SR-NYSEAmex-2011-73 |
|
34-67090 |
May 31, 2012 |
Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes as Modified by Amendments No. 1, Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.: SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEArca-2011-68, SR-Phlx-2011-129
Comments due: June 27, 2012
|
|
34-66680 |
Mar. 29, 2012 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Changes Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.: SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEArca-2011-68, SR-Phlx-2011-129
|
|
34-66065 |
Dec. 28, 2011 |
Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Changes Relating to Trading Halts Due to Extraordinary Market Volatility
Comments due: January 25, 2012
Rebuttal comments due: February 8, 2012
Additional File Nos.: SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEArca-2011-68, SR-Phlx-2011-129
Comments received
are available
for this notice.
|
|
34-65770 |
Nov. 17, 2011 |
Notice of Designation Of a Longer Period for Commission Action on Proposed Rules Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.: SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEArca-2011-68, SR-Phlx-2011-129
|
|
34-65432 |
Sep. 28, 2011 |
Notice of Filing of Proposed Rule Change Amending NYSE Amex Equities Rule 80B to Revise the Current Methodology for Determining When to Halt Trading in All Stocks Due to Extraordinary Market Volatility
Comments due: October 25, 2011
Comments received
are available
for this notice.
|
SR-NYSEAmex-2011-72 |
|
34-65472 |
Oct. 3, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Relating to Fees Applicable to Qualified Contingent Cross Orders in the Options Fee Schedule
Comments due: November 1, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-70 |
|
34-65421 |
Sep. 28, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .06 to Rule 903 in Order to Simplify the $1 Strike Price Program
Comments due: October 25, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-69 |
|
34-65314 |
Sep. 12, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Options Fee Schedule to Add Clarifying Language with Respect to Marketing Charges Generally and Marketing Charges for Directed Orders, and to Add New and Clarifying Language with Respect to Marketing Charges for Electronic Complex Orders
Comments due: October 7, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-68 |
|
34-65341 |
Sep. 14, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Messages to Contracts Traded Ratio Fee in the Options Fee Schedule
Comments due: October 12, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-67 |
|
34-65283 |
Sep. 7, 2011 |
Notice of Filing of Proposed Rule Change Relating to Fees for Trading Securities Listed on the Nasdaq Stock Market LLC Pursuant to Unlisted Trading Privileges
Comments due: October 5, 2011
Additional Material:
Exhibit 5
|
SR-NYSEAmex-2011-66 |
|
34-65239 |
Aug. 31, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Options Fee Schedule for Co-Location Services to Correct Several Typographical Errors
Comments due: September 28, 2011
|
SR-NYSEAmex-2011-65 |
|
34-65240 |
Aug. 31, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Equities Price List for Co-Location Services to Correct Several Typographical Errors
Comments due: September 28, 2011
|
SR-NYSEAmex-2011-64 |
|
34-65451 |
Sep. 30, 2011 |
Order Approving a Proposed Rule Change Amending NYSE Amex Options Rule 993NY(b)(2) to Make Permanent the Pilot Program that Permits the Exchange to Accept Inbound Orders Routed by Archipelago Securities LLC in Its Capacity as a Facility of Affiliated exchanges and to Clarify the Text of NYSE Amex Options Rule 993NY(b)(1)(B) to More Accurately Reflect the Regulatory Services Agreement between the Exchange and the Financial Industry Regulatory Authority
See also:
Notice: Rel. No. 34-65181
|
|
34-65181 |
Aug. 22, 2011 |
Notice of Filing of Proposed Rule Change Amending NYSE Arca Options Rule 6.96(b)(2) to Make Permanent the Pilot Program that Permits the Exchange to Accept Inbound Orders Routed by Archipelago Securities LLC in Its Capacity as a Facility of Affiliated exchanges and to Clarify the Text of NYSE Arca Options Rule 6.96(b)(1)(B) to More Accurately Reflect the Regulatory Services Agreement between the Exchange and the Financial Industry Regulatory Authority
Comments due: September 16, 2011
Additional Material:
Exhibit 5
|
SR-NYSEAmex-2011-63 |
|
34-65457 |
Sep. 30, 2011 |
Order Approving a Proposed Rule Change Amending NYSE Amex Equities Rule 17(c)(2)(B) to Make Permanent the Pilot Program that Permits the Exchange to Accept Inbound Orders Routed by Archipelago Securities LLC in Its Capacity as a Facility of Affiliated exchanges and to Clarify the NYSE Amex Equities Rule 17(c)(2)(A)(ii) to More Accurately Reflect the Regulatory Services Agreement between the Exchange and the Financial Industry Regulatory Authority
See also:
Notice: Rel. No. 34-65184
|
|
34-65184 |
Aug. 22, 2011 |
Notice of Filing of Proposed Rule Change Amending NYSE Amex Equities Rule 17(c)(2)(B) to Make Permanent the Pilot Program that Permits the Exchange to Accept Inbound Orders Routed by Archipelago Securities LLC in Its Capacity as a Facility of Affiliated exchanges and to Clarify the NYSE Amex Equities Rule 17(c)(2)(A)(ii) to More Accurately Reflect the Regulatory Services Agreement between the Exchange and the Financial Industry Regulatory Authority
Comments due: September 16, 2011
Additional Material:
Exhibit 5
|
SR-NYSEAmex-2011-62 |
|
34-65192 |
Aug. 24, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding New Commentary .02 to NYSE Amex Options Rule 965NY to Provide for the Nullification of Reported Trades by Mutual Agreement of the Parties Thereto
Comments due: September 21, 2011
Additional Material:
Exhibit 5
|
SR-NYSEAmex-2011-61 |
|
34-65572 |
Oct. 14, 2011 |
Order Granting Approval of Proposed Rule Change Adding Commentary .01 to Rule 925.1NY Concerning Market Maker Continuous Quoting Obligations and Adjusted Option Series
|
|
34-65209 |
Aug. 26, 2011 |
Notice of Filing of Proposed Rule Change Adding Commentary .01 to Rule 925.1NY to Indicate that Market Makers will not be Obligated to Quote in Adjusted Option Series and to Clarify an Existing Exception to the Quoting Obligations
Comments due: September 22, 2011
|
SR-NYSEAmex-2011-60 |
|
34-65102 |
Aug. 11, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 128 so that Clearly Erroneous Executions Involving Securities Recently Added to the Individual Security Trading Pause Pilot under NYSE Amex Equities Rule 80C Continue to be Resolved in the Same Manner Before Being Added to the Pilot
Comments due: September 7, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-59 |
|
34-65165 |
Aug. 18, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting the Text of NYSE Amex Equities Rules 92, 513, 514 and Adopting New NYSE Amex Equities Rule 5320 that is Substantially the Same as Financial Industry Regulatory Authority Rule 5320 to Prohibit Trading Ahead of Customer Orders with Certain Exceptions (commonly known as the Manning Rule)
Comments due: September 14, 2011
Additional Materials:
Exhibit 2a;
Exhibit 2b;
Exhibit 2c;
Exhibit 5
|
SR-NYSEAmex-2011-58 |
|
34-65066 |
Aug. 6, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 128, Clearly Erroneous Executions, to Extend the Effective Date of the Pilot Until January 31, 2012
Comments due: September 6, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-57 |
|
34-65089 |
Aug. 10, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 80C, Which Provides for Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, to Extend the Pilot until January 31, 2012
Comments due: September 6, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-56 |
|
34-65047 |
Aug. 6, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Options Rule 985NY to Permit Qualified Contingent Cross Orders to be Electronically Submitted to the NYSE Amex System from the Floor of the Exchange for Potential Execution
Comments due: September 1, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-55 |
|
34-65710 |
Nov. 8, 2011 |
Notice and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment No. 2, Amending Section 101 of the NYSE Amex Company Guide To Adopt Additional Listing Requirements for Companies Applying to List After Consummation of a "Reverse Merger" With a Shell Company
Comments due: December 6, 2011
Additional Materials:
Exhibit 4;
Exhibit 5
|
|
34-65369 |
Sep. 21, 2011 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Section 101 of the NYSE Amex Company Guide to Adopt Additional Listing Requirements for Companies Applying to List After Consummation of a "Reverse Merger" with a Shell Company
|
|
34-65033 |
Aug. 4, 2011 |
Notice of Filing of Proposed Rule Change Amending Section 101 of the NYSE Amex Company Guide to Adopt Additional Listing Requirements for Companies Applying to List After Consummation of a "Reverse Merger" with a Shell Company
Comments due: August 31, 2011
Comments received
are available
for this notice.
|
SR-NYSEAmex-2011-54 |
|
34-64987 |
Jul. 29, 2011 |
Notice of Filing of Proposed Rule Change Amending the Definition of Approved Person to Exclude Foreign Affiliates, Creating a New Definition of "Foreign Securities Affiliate," Eliminating the Application Process for Approved Persons, and Making Related Technical and Conforming Changes
Comments due: August 24, 2011
|
SR-NYSEAmex-2011-53 |
|
34-64907 |
Jul. 18, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Options Rule 993NY to Make Changes Necessary to Allow Its Routing Broker to Operate Consistent with the Requirements of Rule 15c3-5 Under the Securities Exchange Act of 1934
Comments due: August 12, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-52 |
|
34-64908 |
Jul. 18, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 17 ? NYSE Amex Equities to Make Changes Necessary to Allow Its Routing Broker to Operate Consistent with the Requirements of Rule 15c3-5 Under the Securities Exchange Act of 1934
Comments due: August 12, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-51 |
|
34-64887 |
Jul. 14, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Conforming Certain of its Financial Responsibility and Related Operational Rules to a Recently-Approved Financial Industry Regulatory Authority Rule Change
Comments due: August 10, 2011
|
SR-NYSEAmex-2011-50 |
|
34-64966 |
Jul. 26, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .07 to NYSE Amex Rule 904 to Increase Position Limits for Options on the SPDR® S&P 500® Exchange-Traded Fund, which List and Trade under the Option Symbol SPY, and to Update the Names and One Trading Symbol for the Options Reflected therein, Including SPY
Comments due: August 22, 2011
|
SR-NYSEAmex-2011-49 |
|
34-64902 |
Jul. 18, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Proposal to amend the Fee Schedule by adding Definitions for the Strategy Executions that Qualify for Transaction Fee Caps
Comments due: August 12, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-47 |
|
34-64859 |
Jul. 12, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operative Date of NYSE Amex Equities Rule 92(c)(3) from August 1, 2011 to September 12, 2011
Comments due: August 8, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-46 |
|
34-64797 |
Jul. 1, 2011 |
NNotice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 1000(a)(iv) to Provide For a Different Liquidity Replenishment Point Value Range During the First Day of Trading of An Initial Public Offering on the Exchange
Comments due: 21 days after publication in the Federal Register
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-45 |
|
34-64746 |
Jun. 24, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Operation of the Pilot Program that Allows Nasdaq Stock Market Securities to be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges
Comments due: July 21, 2011
|
SR-NYSEAmex-2011-44 |
|
34-64772 |
Jun. 29, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot Until the Earlier of the Securities and Exchange Commission's Approval to Make Such Pilot Permanent or January 31, 2012
Comments due: July 27, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-43 |
|
34-64773 |
Jun. 29, 2011 |
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 January 31, 2012
Comments due: July 27, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-42 |
|
34-64784 |
Jun. 30, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Amex Equities Rule 351(a)-(d) and Supplementary Material .10 and .13, Adopting the Text of FINRA Rule 4530, and Making Certain Conforming Changes
Comments due: July 28, 2011
|
SR-NYSEAmex-2011-41 |
|
34-64783 |
Jun. 30, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting the Text of Rule 409(f) - NYSE Amex Equities and Adopting the Text of FINRA Rule 2232
Comments due: July 28, 2011
|
SR-NYSEAmex-2011-40 |
|
34-64732 |
Jun. 23, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Include Text in Its Options Rules Governing the Use of Its Affiliate Broker-Dealer, Archipelago Securities LLC for Outbound Routing of Option Orders, and to Adopt Text in Its Options Rules to Permit the Exchange to Receive Inbound Routes of Option Orders from Arca Securities, Acting as the Outbound Router for NYSE Arca, Inc.
Comments due: July 20, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-39 |
|
34-64728 |
Jun. 23, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 17 - NYSE Amex Equities to Codify Inbound Routing Functions Performed by Its Affiliate Broker-Dealer, Archipelago Securities LLC
Comments due: July 20, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-38 |
|
34-64693 |
Jun. 16, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 903G to Permit the Exchange to List Flexible Exchange Options on Index and Equity Securities that are Eligible for Non-FLEX Options Trading, and that have Non-FLEX Options on Such Index and Equity Securities Listed and Traded on at Least One National Securities Exchange, Even If the Exchange Does Not List Such Non-FLEX Options
Comments due: July 13, 2011
|
SR-NYSEAmex-2011-37 |
|
34-64655 |
Jun. 13, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule to Establish a New Fee Designed to Encourage Efficient Use of Bandwidth by ATP Firms and to Rename a Related Existing Fee
Comments due: July 8, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-36 |
|
34-64656 |
Jun. 13, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule to Adopt a Monthly Fee Cap and Related Service Fee for All Member Firm Proprietary Transactions Executed in Open Outcry and to Increase Both the Existing Monthly Fee Cap and a Related Trading Volume Threshold Applicable to Market Makers
Comments due: July 8, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-35 |
|
34-64581 |
Jun. 2, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fees Relating to the Sale of Trading Licenses
Comments due: June 29, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-34 |
|
34-64844 |
Jul. 8, 2011 |
Order Approving a Proposed Rule Change Amending NYSE Amex Equities Rule 70.40(3) to Permit Member Organizations to Engage in Proprietary Trading from Their Approved Booth Premises in Certain OTC Bulletin Board and OTC Markets Securities
|
|
34-64521 |
May 19, 2011 |
Notice of Filing of Proposed Rule Change Amending NYSE Amex Equities Rule 70.40(3) to Permit Member Organizations to Engage in Proprietary Trading From Their Approved Booth Premises in Certain OTC Bulletin Board and OTC Markets Securities
Comments due: June 15, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-33 |
|
34-64519 |
May 19, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC to Permit the Listing of Additional Expiration Months if Such Expiration Months Are Listed on Another Exchange
Comments due: June 15, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-32 |
|
34-64735 |
Jun. 23, 2011 |
Order Approving Proposed Rule Changes Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to all NMS stocks
Additional File Nos.: SR-BATS-2011-016; SR-BYX-2011-011; SR-BX-2011-025; SR-CBOE-2011-049; SR-CHX-2011-09; SR-EDGA-2011-15; SR-EDGX-2011-14; SR-FINRA-2011-023; SR-ISE-2011-028; SR-NASDAQ-2011-067; SR-NYSE-2011-21; SR-NYSEArca-2011-26; SR-NSX-2011-06; SR-Phlx-2011-64
|
|
34-64421 |
May 6, 2011 |
Notice of Filing of Proposed Rule Change Amending Rule 80C - NYSE Amex Equities to Include Additional Securities in the Pilot by Which Such Rule Operates and Amending Rule 104 - NYSE Amex Equities to Simplify Certain Aspects of the Text While Also Conforming Certain of the Percentages Thereunder to the Proposed Changes to Rule 80C
Comments due: June 2, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-31 |
|
34-64404 |
May 4, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Extend Its Program That Allows Transactions to Take Place at a Price That Is Below $1 Per Option Contract Until June 1, 2012
Comments due: May 31, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-30 |
|
34-64524 |
May 19, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Fee Schedule With Respect to Electronic Complex Order Executions
Comments due: June 15, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-29 |
|
34-64350 |
Apr. 27, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 440B (Short Sales) to Modify the Exchange's Procedures for Early Termination of the Short Sale Price Test Restrictions of Rule 201 of Regulation SHO Based on a Triggering Transaction that Another Exchange or a Self-Regulatory Organization Has Determined Was a Clearly Erroneous Execution
Comments due: May 24, 2011
|
SR-NYSEAmex-2011-27 |
|
34-64400 |
May 4, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Fee Schedule to Eliminate Registered Representative Fees for Amex Trading Permit ("ATP") Holders and to Institute a New Transaction-Based "Options Regulatory Fee"
Comments due: May 31, 2011
Additional Materials:
Exhibit 5
Comments received
are available
for this notice.
|
SR-NYSEAmex-2011-26 |
|
34-64325 |
Apr. 22, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit the Listing of Series with $0.50 and $1 Strike Price Increments on Certain Options Used to Calculate Volatility Indexes
Comments due: May 18, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-25 |
|
34-64335 |
Apr. 25, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 72(d) Regarding Agency Cross Transactions
Comments due: May 20, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-24 |
|
34-64233 |
Apr. 7, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 128, Clearly Erroneous Executions, to Extend the Effective Date of the Pilot Until the Earlier of August 11, 2011 or The Date on Which a Limit Up/Limit Down Mechanism to Address Extraordinary Market Volatility, if Adopted, Applies
Comments due: May 4, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-23 |
|
34-64206 |
Apr. 6, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 80C, Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, to Extend the Effective Date of the Pilot Until the Earlier of August 11, 2011 or the Date on Which a Limit Up/Limit Down Mechanism to Address Extraordinary Market Volatility, If Adopted, Applies
Comments due: May 3, 2011
|
SR-NYSEAmex-2011-22 |
|
34-64163 |
Mar. 31, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC to Expand the $2.50 Strike Price Program
Comments due: April 27, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-021 |
|
34-64195 |
Apr. 5, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Exchange Price List
Comments due: May 3, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-20 |
|
34-64543 |
May 25, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Revenue Sharing Program with Correlix, Inc. and a Free Trial Period for New Users of the Correlix Service
Comments due: June 22, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-19 |
|
34-64133 |
Mar. 28, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 440B
Comments due: 21 days after publication in the Federal Register
|
SR-NYSEAmex-2011-18 |
|
34-64742 |
Jun. 24, 2011 |
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Formation of a Joint Venture Between the Exchange, Its Ultimate Parent NYSE Euronext, and Seven Other Entities to Operate an Electronic Trading Facility for Options Contracts
|
|
34-64511 |
May 18, 2011 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to the Formation of a Joint Venture Between the Exchange, Its Ultimate Parent NYSE Euronext, and Seven Other Entities to Operate an Electronic Trading Facility for Options Contracts
|
|
34-64144 |
Mar. 29, 2011 |
Notice of Filing of Proposed Rule Change Relating to the Formation of a Joint Venture Between the Exchange, Its Ultimate Parent NYSE Euronext, and Seven Other Entities to Operate an Electronic Trading Facility for Options Contracts
Comments due: April 25, 2011
Additional Materials:
Exhibit 5A;
Exhibit 5B
Comments received
are available
for this notice.
|
SR-NYSEAmex-2011-17 |
|
34-64130 |
Mar. 28, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting Rule 346 - NYSE Amex Equities and Adopting New Rule 3270 - NYSE Amex Equities to Correspond with Rule Changes Filed by the Financial Industry Regulatory Authority, Inc.
Comments due: April 22, 2011
|
SR-NYSEAmex-2011-16 |
|
34-64089 |
Mar. 17, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 36 to Permit Written Communications to be Sent Electronically Between the Designated Market Maker Unit's Post Location on The Floor and the DMM Unit's Off-Floor Offices and to Persons Permitted to Provide Non-Trading Related Services to the DMM Under NYSE Amex Equities Rule 98
Comments due: April 12, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-15 |
|
34-64107 |
Mar. 22, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Operation of its Pilot Program regarding Minimum Value Sizes for Flexible Exchange Options
Comments due: April 18, 2011
|
SR-NYSEAmex-2011-14 |
|
34-64085 |
Mar. 17, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting Rules Related to Qualified Contingent Cross Orders
Comments due: April 12, 2011
|
SR-NYSEAmex-2011-11 |
|
34-64321 |
Apr. 21, 2011 |
Order Approving a Proposed Rule Change Amending Rule 103B - NYSE Amex Equities to Modify the Application of the Exchange's Designated Market Maker Allocation Policy in the Event of a Merger Involving One or More Listed Companies
|
|
34-64274 |
Apr. 8, 2011 |
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Amending Rule 103B - NYSE Amex Equities to Modify the Application of the Exchange's Designated Market Maker Allocation Policy in the Event of a Merger Involving One or More Listed Companies
|
|
34-64040 |
Mar. 4, 2011 |
Notice of Filing of Proposed Rule Change Amending Rule 103B - NYSE Amex Equities to Modify the Application of the Exchange's Designated Market Maker Allocation Policy in the Event of a Merger Involving One or More Listed Companies
Comments due: March 31, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-10 |
|
34-64014 |
Mar. 2, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period of the Exchange's Prior Approvals to Receive Inbound Routes of Equities Orders from Archipelago Securities LLC
Comments due: March 29, 2011
|
SR-NYSEAmex-2011-09 |
|
34-63972 |
Feb. 25, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting Supplementary Material .20 to NYSE Amex Equities Rule 123C to Provide for the Treatment of Short Sale Orders at the Close
Comments due: March 25, 2011
|
SR-NYSEAmex-2011-08 |
|
34-63974 |
Feb. 25, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 440B (Short Sales) in Order to Implement the Provisions of Rule 201 of Regulation SHO Under the Securities Exchange Act of 1934
Comments due: March 25, 2011
|
SR-NYSEAmex-2011-07 |
|
34-63935 |
Feb. 18, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange Price List
Comments due: March 18, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-06 |
|
34-63943 |
Feb. 22, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change in Connection with the Proposal of NYSE Euronext to Eliminate the Requirement of an 80% Supermajority Vote to Amend or Repeal Section 3.1 of its Bylaws
Comments due: March 22, 2011
|
SR-NYSEAmex-2011-05 |
|
34-63746 |
Jan. 20, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting Standards for Market maker Electronic Quotes That Are Present During an Opening Auction
Comments due: February 17, 2011
|
SR-NYSEAmex-2011-04 |
|
34-63752 |
Jan. 21, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Criteria for Listing Special Purpose Acquisition Companies (SPACs) to Provide an Option to Hold a Tender Offer in Lieu of a Shareholder Vote on a Proposed Acquisition
Comments due: February 18, 2011
Additional Materials:
Exhibit 5
|
SR-NYSEAmex-2011-03 |
|
34-63708 |
Jan. 12, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC to Establish a $5 Strike Price Program
Comments due: February 10, 2011
Additional Materials:
Exhibit 5
|
http://www.sec.gov/rules/sro/nyseamex/nyseamexarchive/nyseamexarchive2011.shtml
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