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

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.