NYSE Arca Rulemaking
We encourage the public to submit comments on the following NYSE Arca, Inc. (NYSE Arca; formerly Pacific Exchange, Inc.) 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
Second Quarter |
First Quarter
NYSE Arca File Number List for 2019
Additional Archives
2019 | 2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999
Chronological List for 2019
| Release No. | Date | Details |
|---|---|---|
| Second Quarter | ||
| SR-NYSEArca-2019-27 | ||
| 34-85697 | Apr. 19, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete NYSE Arca Rule 8.800-E Setting Forth the Requirements for the NYSE Arca ETP Incentive Program
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-24 | ||
| 34-85696 | Apr. 19, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule Regarding Certain Credits
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-06 | ||
| 34-85690 | Apr. 18, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Commentary .01 to NYSE Arca Rule 8.600-E Relating to Generic Listing Standards for Managed Fund Shares Applicable to Holdings in Fixed Income Securities |
| SR-NYSEArca-2018-77 | ||
| 34-85646 | Apr. 15, 2019 | Notice of Withdrawal of Proposed Rule Change to Amend Rule 7.44-E to Expand and Modify the Exchange's Retail Liquidity Program |
| SR-NYSEArca-2019-15 | ||
| 34-85639 | Apr. 12, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Investigation, Disciplinary, Sanction, and Other Procedural Rules Modeled on the Rules of the Exchange's Affiliate NYSE American LLC
Comments due: May 9, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-25 | ||
| 34-85620 | Apr. 11, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule
Comments due: May 8, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-22 | ||
| 34-85610 | Apr. 11, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot for Certain Options Market Rules that are Linked to the Equity Market Plan to Address Extraordinary Market Volatility
Comments due: May 8, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-04 | ||
| 34-85573 | Apr. 9, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend NYSE Arca Rule 5.2-E(j)(3) to Adopt Generic Listing Standards for Investment Company Units Based on an Index of Municipal Bond Securities |
| SR-NYSEArca-2019-23 | ||
| 34-85561 | Apr. 9, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to Rule 7.12-E, Trading Halts Due to Extraordinary Market Volatility
Comments due: May 6, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-21 | ||
| 34-85532 | Apr. 5, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Rule 7.10-E, Clearly Erroneous Executions
Comments due: May 2, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-18 | ||
| 34-85494 | Apr. 3, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 6.40-O to Reduce the Minimum Allowable Parameter for the Percentage-Based Risk Limitation Mechanism
Comments due: April 30, 2019 Additional Materials: Exhibit 5 |
| First Quarter | ||
| SR-NYSEArca-2019-01 | ||
| 34-85461 | Mar. 29, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the Listing and Trading of Shares of the Bitwise Bitcoin ETF Trust under NYSE Arca Rule 8.201-E |
| SR-NYSEArca-2019-07 | ||
| 34-85450 | Mar. 29, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fees and Charges and the NYSE Arca Equities Fees and Charges Related to Co-location Services
Comments due: April 25, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-14 | ||
| 34-85430 | Mar. 27, 2019 | Notice of Filing of Proposed Rule Change Relating to Certain Changes Regarding Investments of the PGIM Ultra Short Bond ETF under NYSE Arca Rule 8.600-E
Comments due: April 23, 2019 |
| SR-NYSEArca-2019-17 | ||
| 34-85426 | Mar. 26, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify Statements Made in a Recent Filing In Regards to the Six-Month Lookback Period for New Issues Added to the Penny Pilot on a Quarterly Basis
Comments due: April 22, 2019 |
| SR-NYSEArca-2018-43 | ||
| 34-85422 | Mar. 26, 2019 | Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, Regarding Investments of the First Trust TCW Unconstrained Plus Bond ETF |
| SR-NYSEArca-2019-02 | ||
| 34-85417 | Mar. 26, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the Listing and Trading of the Shares of the ProShares UltraPro 3x Natural Gas ETF and ProShares UltraPro 3x Short Natural Gas ETF under NYSE Arca Rule 8.200-E |
| SR-NYSEArca-2018-83 | ||
| 34-85385 | Mar. 21, 2019 | Notice of Filing of Amendment No. 2 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, Regarding Changes to Investments of the iShares Bloomberg Roll Select Commodity Strategy ETF
Comments due: April 17, 2019 Rebuttal comments due: May 1, 2019 |
| SR-NYSEArca-2018-98 | ||
| 34-85375 | Mar. 20, 2019 | Notice of Filing of Amendment No. 2 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, to List and Trade Shares of the iShares Commodity Multi-Strategy ETF under NYSE Arca Rule 8.600-E
Comments due: April 16, 2019 Rebuttal comments due: April 30, 2019 |
| SR-NYSEArca-2019-13 | ||
| 34-85363 | Mar. 19, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to Rule 6.72-O to specify that replacement issues may be added to the Penny Pilot quarterly
Comments due: April 15, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSEArca-2019-12 | ||
| 34-85312 | Mar. 14, 2019 | Notice of Filing of Proposed Rule Change to List and Trade Shares of the iShares Commodity Curve Carry Strategy ETF under NYSE Arca Rule 8.600-E
Comments due: April 10, 2019 Comments received are available for this proposal. |
| SR-NYSEArca-2019-10 | ||
| 34-85311 | Mar. 14, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges to Introduce a New Pricing Tier, Step Up Tier 4
Comments due: April 10, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-11 | ||
| 34-85306 | Mar. 13, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fees and Charges and the NYSE Arca Equities Fees and Charges Related to Co-location Services
Comments due: April 9, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-08 | ||
| 34-85265 | Mar. 7, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 7.16-E, 7.18-E, 7.31-E, 7.34-E, 7.35-E, and 7.38-E
Comments due: April 3, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-82 | ||
| 34-85244 | Mar. 4, 2019 | Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Regarding Certain Changes Relating to Investments of the PGIM Active High Yield Bond ETF |
| SR-NYSEArca-2019-06 | ||
| 34-85220 | Feb. 28, 2019 | Notice of Filing of Proposed Rule Change to Amend Commentary .01 to NYSE Arca Rule 8.600-E Relating to Generic Listing Standards for Managed Fund Shares Applicable to Holdings in Fixed Income Securities
Comments due: March 27, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-04 | ||
| 34-85170 | Feb. 21, 2019 | Notice of Filing of Proposed Rule Change Amending NYSE Arca Rule 5.2-E(j)(3) to Adopt Generic Listing Standards for Investment Company Units Based on an Index of Municipal Bond Securities
Comments due: March 20, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-54 | ||
| 34-85154 | Feb. 15, 2019 | Notice of Withdrawal of a Proposed Rule Change to Amend Commentary .01 to NYSE Arca Rule 8.600-E Relating to Certain Generic Listing Standards for Managed Fund Shares |
| SR-NYSEArca-2018-83 | ||
| 34-85117 | Feb. 13, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Regarding Investments of the iShares Bloomberg Roll Select Commodity Strategy ETF |
| SR-NYSEArca-2018-67 | ||
| 34-85110 | Feb. 12, 2019 | Notice of Withdrawal of a Proposed Rule Change to Amend NYSE Arca Rule 5.2-E(j)(6) Relating to Equity Index-Linked Securities Listing Standards Set Forth in NYSE Arca Rule 5.2-E(j)(6)(B)(I) |
| SR-NYSEArca-2019-02 | ||
| 34-85088 | Feb. 11, 2019 | Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the ProShares UltraPro 3x Natural Gas ETF and ProShares UltraPro 3x Short Natural Gas ETF under NYSE Arca Rule 8.200-E
Comments due: March 8, 2019 |
| SR-NYSEArca-2019-01 | ||
| 34-85093 | Feb. 11, 2019 | Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the Bitwise Bitcoin ETF Trust under NYSE Arca Rule 8.201-E
Comments due: March 8, 2019 Comments received are available for this proposal. |
| SR-NYSEArca-2019-05 | ||
| 34-85094 | Feb. 11, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges
Comments due: March 8, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-03 | ||
| 34-85064 | Feb. 6, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.31-E Relating to the Minimum Trade Size Modifier
Comments due: March 5, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-101 | ||
| 34-85035 | Feb. 1, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges Regarding Credits Applicable to Lead Market Makers and to ETP Holders and Market Makers Affiliated with the LMM that Provide Displayed Liquidity to the NYSE Arca Book in Tape B Securities
Comments due: February 22, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-98 | ||
| 34-85033 | Feb. 1, 2019 | Notice of Filing of Proposed Rule Change Relating to Listing and Trading Shares of the iShares Commodity Multi-Strategy ETF under NYSE Arca Rule 8.600-E; and Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Listing and Trading Shares of the iShares Commodity Multi-Strategy ETF under NYSE Arca Rule 8.600-E
Comments due: February 28, 2019 Comments received are available for this proposal. |
| SR-NYSEArca-2018-99 | ||
| 34-85029 | Feb. 1, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule
Comments due: February 22, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2018-54 | ||
| 34-85026 | Feb. 1, 2019 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend Commentary .01 to NYSE Arca Rule 8.600-E Relating to Certain Generic Listing Standards for Managed Fund Shares |
| SR-NYSEArca-2018-40 | ||
| 34-85020 | Jan. 31, 2019 | Notice of Withdrawal of a Proposed Rule Change Regarding Investments of the REX BKCM ETF |
| SR-NYSEArca-2018-43 | ||
| 34-84990 | Jan. 25, 2019 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Regarding Investments of the First Trust TCW Unconstrained Plus Bond ETF |
| SR-NYSEArca-2018-82 | ||
| 34-84987 | Jan. 17, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Regarding Certain Changes Relating to Investments of the PGIM Active High Yield Bond ETF |
NYSE Arca File Number List for 2019
| Release No. | Date | Details |
|---|---|---|
| SR-NYSEArca-2019-27 | ||
| 34-85697 | Apr. 19, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete NYSE Arca Rule 8.800-E Setting Forth the Requirements for the NYSE Arca ETP Incentive Program
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-25 | ||
| 34-85620 | Apr. 11, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule
Comments due: May 8, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-24 | ||
| 34-85696 | Apr. 19, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule Regarding Certain Credits
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-23 | ||
| 34-85561 | Apr. 9, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to Rule 7.12-E, Trading Halts Due to Extraordinary Market Volatility
Comments due: May 6, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-22 | ||
| 34-85610 | Apr. 11, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot for Certain Options Market Rules that are Linked to the Equity Market Plan to Address Extraordinary Market Volatility
Comments due: May 8, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-21 | ||
| 34-85532 | Apr. 5, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Rule 7.10-E, Clearly Erroneous Executions
Comments due: May 2, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-18 | ||
| 34-85494 | Apr. 3, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 6.40-O to Reduce the Minimum Allowable Parameter for the Percentage-Based Risk Limitation Mechanism
Comments due: April 30, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-17 | ||
| 34-85426 | Mar. 26, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify Statements Made in a Recent Filing In Regards to the Six-Month Lookback Period for New Issues Added to the Penny Pilot on a Quarterly Basis
Comments due: April 22, 2019 |
| SR-NYSEArca-2019-15 | ||
| 34-85639 | Apr. 12, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Investigation, Disciplinary, Sanction, and Other Procedural Rules Modeled on the Rules of the Exchange's Affiliate NYSE American LLC
Comments due: May 9, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-14 | ||
| 34-85430 | Mar. 27, 2019 | Notice of Filing of Proposed Rule Change Relating to Certain Changes Regarding Investments of the PGIM Ultra Short Bond ETF under NYSE Arca Rule 8.600-E
Comments due: April 23, 2019 |
| SR-NYSEArca-2019-13 | ||
| 34-85363 | Mar. 19, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to Rule 6.72-O to specify that replacement issues may be added to the Penny Pilot quarterly
Comments due: April 15, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NYSEArca-2019-12 | ||
| 34-85312 | Mar. 14, 2019 | Notice of Filing of Proposed Rule Change to List and Trade Shares of the iShares Commodity Curve Carry Strategy ETF under NYSE Arca Rule 8.600-E
Comments due: April 10, 2019 Comments received are available for this proposal. |
| SR-NYSEArca-2019-11 | ||
| 34-85306 | Mar. 13, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fees and Charges and the NYSE Arca Equities Fees and Charges Related to Co-location Services
Comments due: April 9, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-10 | ||
| 34-85311 | Mar. 14, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges to Introduce a New Pricing Tier, Step Up Tier 4
Comments due: April 10, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-08 | ||
| 34-85265 | Mar. 7, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 7.16-E, 7.18-E, 7.31-E, 7.34-E, 7.35-E, and 7.38-E
Comments due: April 3, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-07 | ||
| 34-85450 | Mar. 29, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fees and Charges and the NYSE Arca Equities Fees and Charges Related to Co-location Services
Comments due: April 25, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-06 | ||
| 34-85690 | Apr. 18, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Commentary .01 to NYSE Arca Rule 8.600-E Relating to Generic Listing Standards for Managed Fund Shares Applicable to Holdings in Fixed Income Securities |
| 34-85220 | Feb. 28, 2019 | Notice of Filing of Proposed Rule Change to Amend Commentary .01 to NYSE Arca Rule 8.600-E Relating to Generic Listing Standards for Managed Fund Shares Applicable to Holdings in Fixed Income Securities
Comments due: March 27, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-05 | ||
| 34-85094 | Feb. 11, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges
Comments due: March 8, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-04 | ||
| 34-85573 | Apr. 9, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend NYSE Arca Rule 5.2-E(j)(3) to Adopt Generic Listing Standards for Investment Company Units Based on an Index of Municipal Bond Securities |
| 34-85170 | Feb. 21, 2019 | Notice of Filing of Proposed Rule Change Amending NYSE Arca Rule 5.2-E(j)(3) to Adopt Generic Listing Standards for Investment Company Units Based on an Index of Municipal Bond Securities
Comments due: March 20, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-03 | ||
| 34-85064 | Feb. 6, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.31-E Relating to the Minimum Trade Size Modifier
Comments due: March 5, 2019 Additional Materials: Exhibit 5 |
| SR-NYSEArca-2019-02 | ||
| 34-85417 | Mar. 26, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the Listing and Trading of the Shares of the ProShares UltraPro 3x Natural Gas ETF and ProShares UltraPro 3x Short Natural Gas ETF under NYSE Arca Rule 8.200-E |
| 34-85088 | Feb. 11, 2019 | Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the ProShares UltraPro 3x Natural Gas ETF and ProShares UltraPro 3x Short Natural Gas ETF under NYSE Arca Rule 8.200-E
Comments due: March 8, 2019 |
| SR-NYSEArca-2019-01 | ||
| 34-85461 | Mar. 29, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the Listing and Trading of Shares of the Bitwise Bitcoin ETF Trust under NYSE Arca Rule 8.201-E |
| 34-85093 | Feb. 11, 2019 | Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the Bitwise Bitcoin ETF Trust under NYSE Arca Rule 8.201-E
Comments due: March 8, 2019 Comments received are available for this proposal. |