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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
First Quarter

NYSE Arca File Number List for 2014

Additional Archives


Chronological List
Release No. Date Details
Second Quarter

SR-NYSEArca-2014-43
34-71965 Apr. 17, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.62 to Remove the Size Restriction on Contra-Party Participation on a Qualified Contingent Cross Order
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEArca-2014-38
34-71960 Apr. 17, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Revising the Schedule for Implementing the Exchange's Recently Approved Retail Liquidity Program Pursuant to NYSE Arca Equities Rule 7.44
Comments due: 21 days after publication in the Federal Register

SR-NYSEArca-2014-35
34-71946 Apr. 15, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule Regarding Transaction Fees and Credits
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEArca-2013-144
34-71938 Apr. 14, 2014 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the ETSpreads HY Long Credit Fund, the ETSpreads HY Short Credit Fund, the ETSpreads IG Long Credit Fund, and the ETSpreads IG Short Credit Fund Under NYSE Arca Equities Rule 8.600
Comments due: 21 days after publication in the Federal Register
See also: Notice: Rel. No. 34-71618, Notice: Rel. No. 34-71266

SR-NYSEArca-2014-33
34-71912 Apr. 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Raise the Fee and Fee Cap for Market and Auction-Only Orders Executed in an Opening, Market Order or Trading Halt Auction; Modify the Fees Charges for Routing Orders to The New York Stock Exchange LLC; and Modify Certain Credits in the Basic Rate Pricing
Comments due: May 6, 2014
Additional Materials: Exhibit 5

SR-NYSEArca-2014-28
34-71909 Apr. 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Amending Rule to Change the Time By Which Purchase Orders and Redemption Orders Must Be Placed with Respect to the Market Vectors Low Volatility Commodity ETF and Market Vectors Long/Short Commodity ETF
Comments due: May 6, 2014

SR-NYSEArca-2014-10
34-71895 Apr. 7, 2014 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt NYSE Arca Equities Rule 8.900, Which Permits the Listing and Trading of Managed Portfolio Shares, and to List and Trade Shares of the ActiveSharesSM Large-Cap Fund, ActiveSharesSM Mid-Cap Fund, and ActiveSharesSM Multi-Cap Fund Pursuant to that Rule
See also: Notice: Rel. No. 34-71588

SR-NYSEArca-2014-30
34-71894 Apr. 7, 2014 Notice of Filing of Proposed Rule Change Relating to Listing and Trading Shares of Hull Tactical US ETF under NYSE Arca Equities Rule 8.600
Comments due: 21 days after publication in the Federal Register

SR-NYSEArca-2014-36
34-71869 Apr. 4, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Applicable to Rule 6.65A(c), Which Addresses How the Exchange Treats Obvious and Catastrophic Errors During Periods of Extreme Market Volatility, until February 20, 2015
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEArca-2014-31
34-71845 Apr. 1, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Option Trading Rules to Extend the Operation of Its Pilot Program Regarding Minimum Value Sizes for Opening Transactions in New Series of Flexible Exchange Options
Comments due: 21 days after publication in the Federal Register
Additional Materials:  Exhibit 5

SR-NYSEArca-2014-25
34-71839 Apr. 1, 2014 Notice of Filing of Proposed Rule Change to Make Permanent Its Pilot Program Regarding Minimum Value Sizes for Opening Transactions in New Series of Flexible Exchange Options and Establish New Minimum Value Sizes Applicable to Other FLEX Transactions and FLEX Quotes
Comments due: 21 days after publication in the Federal Register
Additional Materials:  Exhibit 3, Exhibit 5
First Quarter

SR-NYSEArca-2014-27
34-71818 Mar. 27, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.62 to Specifically Address the Number and Size of Contra-Parties to a Qualified Contingent Cross Order
Comments due: 21 days after publication in the Federal Register
Additional Materials:  Exhibit 5

SR-NYSEArca-2014-32
34-71807 Mar. 26, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Extend a Pilot Program Related to Rule 7.10, Entitled "Clearly Erroneous Executions"
Comments due: 21 days after publication in the Federal Register
Additional Materials:  Exhibit 5

SR-NYSEArca-2013-141
34-71804 Mar. 26, 2014 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to Adopt New NYSE Arca Equities Rule 7.25 to Create a Crowd Participant Program on a Pilot Basis to Incent Competitive Quoting and Trading Volume in Exchange-Traded Products by Market Makers Qualified with the Exchange as CPs
Comments due: 21 days after publication in the Federal Register
See also:  Notice: Rel. No. 34-71479, Notice: Rel. No. 34-71146

SR-NYSEArca-2014-21
34-71780 Mar. 24, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.44 to Change the Priority of Displayable Odd Lot Interest Within the Recently Approved Retail Liquidity Program
Comments due: 21 days after publication in the Federal Register
Additional Materials:  Exhibit 5

SR-NYSEArca-2014-26
34-71779 Mar. 24, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Changes to the Means of Achieving the Investment Objective Applicable to the db-X Ultra-Short Duration Fund
Comments due: 21 days after publication in the Federal Register

SR-NYSEArca-2014-23
34-71778 Mar. 24, 2014 Notice of Filing of Proposed Rule Change to List and Trade Shares of the iShares Interest Rate Hedged Corporate Bond ETF and iShares Interest Rate Hedged High Yield Bond ETF under NYSE Arca Equities Rule 8.600
Comments due: 21 days after publication in the Federal Register

SR-NYSEArca-2014-11
34-71767 Mar. 21, 2014 Order Granting Approval of Proposed Rule Change to List and Trade Shares of the SPDR SSgA Risk Aware ETF; SPDR SSgA Large Cap Risk Aware ETF; and SPDR SSgA Small Cap Risk Aware ETF under NYSE Arca Equities Rule 8.600
See also:  Notice: Rel. No. 34-71468

SR-NYSEArca-2014-24
34-71750 Mar. 19, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Expanding the Short-Term Option Series Program
Comments due: April 15, 2014
Additional Materials:  Exhibit 5

SR-NYSEArca-2014-04
34-71733 Mar. 18, 2014 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend its Rules by Revising the Order of Priority of Bids and Offers when Executing Orders in Open Outcry
See also:  Notice: Rel. No. 34-71425

SR-NYSEArca-2014-22
34-71722 Mar. 13, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Establish Pricing for the Retail Liquidity Program and Make Certain Changes Relating to Open Orders
Comments due: April 9, 2014
Additional Materials:  Exhibit 5

SR-NYSEArca-2014-08
34-71721 Mar. 13, 2014 Order Granting Approval of Proposed Rule Change Relating to a Corporate Action in which Its Indirect Parent, NYSE Euronext Holdings LLC, Will Become a Wholly-Owned Subsidiary of IntercontinentalExchange, Inc.
Additional File Nos.: SR-NYSEMKT-2014-10, SR-NYSE-2014-04
See also:  Notice: Rel. No. 34-71394

SR-NYSEArca-2014-19
34-71702 Mar. 12, 2014 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, to List and Trade Shares of the iShares Core Allocation Conservative ETF, iShares Core Allocation Moderate ETF, iShares Core Allocation Moderate Growth ETF, and iShares Core Allocation Growth ETF under NYSE Arca Equities Rule 8.600
Comments due: April 8, 2014
Comments received are available for this proposal.

SR-NYSEArca-2014-20
34-71686 Mar. 11, 2014 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, Relating to the Listing and Trading of Reality Shares Isolated Dividend Growth ETF under NYSE Arca Equities Rule 8.600
Comments due: April 7, 2014

SR-NYSEArca-2013-127
34-71645 Mar. 4, 2014 Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change Relating to the Listing and Trading of Shares of Nine Series of the IndexIQ Active ETF Trust Under NYSE Arca Equities Rule 8.600
Rebuttal comments due: April 14, 2014
See also:  Notice: Rel. No. 34-71309, Notice: Rel. No. 34-70954

SR-NYSEArca-2014-18
34-71635 Feb. 28, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reflect Changes to the Means of Achieving the Investment Objective Applicable to the Newfleet Multi-Sector Income ETF
Comments due: March 27, 2014

SR-NYSEArca-2014-02
34-71631 Feb. 27, 2014 Order Granting Approval of Proposed Rule Change Amending Its Rules in Order to Clarify the Applicability and Functionality of Certain Order Types on the Exchange
See also:  Notice: Rel. No. 34-71293

SR-NYSEArca-2013-144
34-71618 Feb. 26, 2014 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the ETSpreads HY Long Credit Fund, the ETSpreads HY Short Credit Fund, the ETSpreads IG Long Credit Fund and the ETSpreads IG Short Credit Fund under NYSE Arca Equities Rule 8.600
See also: Notice: Rel. No. 34-71938, Notice: Rel. No. 34-71266

SR-NYSEArca-2013-135
34-71617 Feb. 26, 2014 Order Granting Approval of Proposed Rule Change to List and Trade Shares of db-X Ultra-Short Duration Fund and db-X Managed Municipal Bond Fund under NYSE Arca Equities Rule 8.600
See also:  Notice: Rel. No. 34-70998

SR-NYSEArca-2013-122
34-71606 Feb. 24, 2014 Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change Relating to the Use of Derivative Instruments by PIMCO Total Return Exchange Traded Fund
Rebuttal Comments due: April 4, 2014
See also:  Notice: Rel. No. 34-71271, Notice: Rel. No. 34-70905

SR-NYSEArca-2014-10
34-71588 Feb. 20, 2014 Notice of Filing of Proposed Rule Change to Adopt NYSE Arca Equities Rule 8.900, Which Permits the Listing and Trading of Managed Portfolio Shares, and to List and Trade Shares of the ActiveSharesSM Large-Cap Fund, ActiveSharesSM Mid-Cap Fund, and ActiveSharesSM Multi-Cap Fund Pursuant to that Rule
Comments due: March 19, 2014
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2014-17
34-71542 Feb. 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule Regarding Transaction Fees and Credits
Comments due: March 12, 2014

SR-NYSEArca-2013-138
34-71540 Feb. 12, 2014 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Listing and Trading of Shares of iShares Enhanced International Large-Cap ETF and iShares Enhanced International Small-Cap ETF Under NYSE Arca Equities Rule 8.600
See also:  Notice: Rel. No. 34-71186

SR-NYSEArca-2014-13
34-71503 Feb. 6, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Add A New Pricing Tier Applicable to Orders that Add Liquidity on the Exchange
Comments due: March 5, 2014
Additional Materials:  Exhibit 5

SR-NYSEArca-2014-12
34-71483 Feb. 5, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Fees for NYSE ArcaBook
Comments due: March 4, 2014
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2013-141
34-71479 Feb. 5, 2014 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Adopt New NYSE Arca Equities Rule 7.25 to Create a Crowd Participant Program on a Pilot Basis to Incent Competitive Quoting and Trading Volume in Exchange-Traded Products by Market Makers Qualified with the Exchange as CPs
See also:  Notice: Rel. No. 34-71804, Notice: Rel. No. 34-71146

SR-NYSEArca-2014-09
34-71475 Feb. 4, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Eliminate the Tape B Adding Tier and Modify the Tape B Step Up Tier
Comments due: March 3, 2014
Additional Materials:  Exhibit 5

SR-NYSEArca-2014-11
34-71468 Feb. 3, 2014 Notice of Filing of Proposed Rule Change to List and Trade Shares of the SPDR SSgA Risk Aware ETF; SPDR SSgA Large Cap Risk Aware ETF; and SPDR SSgA Small Cap Risk Aware ETF under NYSE Arca Equities Rule 8.600
Comments due: February 28, 2014
See also:  Order: Rel. No. 34-71767

SR-NYSEArca-2013-116
34-71456 Jan. 31, 2014 Order Granting Approval of Proposed Rule Change Relating to Listing and Trading of Shares of AdvisorShares International Gold ETF, AdvisorShares Gartman Gold/Yen ETF, AdvisorShares Gartman Gold/British Pound ETF, and AdvisorShares Gartman Gold/Euro ETF under NYSE Arca Equities Rule 8.600
See also:  Notice: Rel. No. 34-71076

SR-NYSEArca-2014-04
34-71425 Jan. 28, 2014 Notice of Filing of Proposed Rule Change to Amend its Rules by Revising the Order of Priority of Bids and Offers when Executing Orders in Open Outcry
Comments due: February 26, 2014
Additional Materials:  Exhibit 5
See also:  Notice: Rel. No. 34-71733
Comments received are available for this proposal.

SR-NYSEArca-2014-06
34-71409 Jan. 27, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase Its Options Regulatory Fee
Comments due: February 21, 2014
Additional Materials:  Exhibit 5

SR-NYSEArca-2014-08
34-71394 Jan. 24, 2014 Notice of Filing of Proposed Rule Change Relating to a Corporate Action in which Its Indirect Parent, NYSE Euronext Holdings LLC, Will Become a Wholly Owned Subsidiary of IntercontinentalExchange, Inc.
Comments due: February 20, 2014
Additional Materials:  Exhibit 5A, Exhibit 5B, Exhibit 5C, Exhibit 5D1, Exhibit 5D2, Exhibit 5E, and Exhibit 5F
See also:  Order: Rel. No. 34-71721

SR-NYSEArca-2014-07
34-71386 Jan. 24, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Updating the Description of the Data Included in the ArcaBook Equities Data Feed
Comments due: February 20, 2014

SR-NYSEArca-2013-137
34-71378 Jan. 23, 2014 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Shares of the Merk Gold Trust Pursuant to NYSE Arca Equities Rule 8.201
See also:  Notice: Rel. No. 34-71038

SR-NYSEArca-2013-132
34-71377 Jan. 23, 2014 Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 2 and 3 Thereto, to List and Trade Shares of Merk Hard Currency ETF under NYSE Arca Equities Rule 8.600
See also:  Notice: Rel. No. 34-70994

SR-NYSEArca-2014-03
34-71367 Jan. 22, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31(b)(2) to Specify that the Exchange Would Not Apply Limit Order Price Protection to Limit Orders Entered Before Core Trading Hours that are Designated for the Core Trading Session or the Market Order Auction
Comments due: February 18, 2014
Additional Materials:  Exhibit 5

SR-NYSEArca-2014-01
34-71366 Jan. 22, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31 to Add a Minimum Execution Size Designation for Tracking Orders and MPL-IOC Orders
Comments due: February 18, 2014
Additional Materials:  Exhibit 5

SR-NYSEArca-2014-05
34-71349 Jan. 17, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reflect a Change to the Means of Achieving the Investment Objective Applicable to the STARô Global Buy-Write ETF
Comments due: February 14, 2014

SR-NYSEArca-2013-92
34-71331 Jan. 16, 2014 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, to Amend NYSE Arca Equities Rules 7.31, 7.32, 7.37, and 7.38 in Order to Comprehensively Update Rules Related to the Exchange's Order Types and Modifiers
Comments due: February 13, 2014
Comments received are available for this proposal.
See also:  Notice: Rel. No. 34-70637;   Notice: Rel. No. 34-70995

SR-NYSEArca-2013-127
34-71309 Jan. 15, 2014 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Shares of Nine Series of the IndexIQ Active ETF Trust under NYSE Arca Equities Rule 8.600
See also:  Order: Rel. No. 34-71645, Notice: Rel. No. 34-70954

SR-NYSEArca-2014-02
34-71293 Jan. 14, 2014 Notice of Filing of Proposed Rule Change Amending Its Rules in Order to Clarify the Applicability and Functionality of Certain Order Types on the Exchange
Comments due: February 11, 2014
Additional Materials:  Exhibit 5
See also:  Notice: Rel. No. 34-71631

SR-NYSEArca-2013-144
34-71266 Jan. 9, 2014 Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of the ETSpreads HY Long Credit Fund, the ETSpreads HY Short Credit Fund, the ETSpreads IG Long Credit Fund and the ETSpreads IG Short Credit Fund under NYSE Arca Equities Rule 8.600
Comments due: February 5, 2014
See also: Notice: Rel. No. 34-71938, Notice: Rel. No. 34-71618

SR-NYSEArca-2013-122
34-71271 Jan. 9, 2014 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to the Use of Derivative Instruments by PIMCO Total Return Exchange Traded Fund
See also:  Order: Rel. No. 34-71606, Notice: Rel. No. 34-70905

SR-NYSEArca-2013-135
34-71269 Jan. 9, 2014 Notice of Filing of Proposed Rule Change to List and Trade Shares of db-X Ultra-Short Duration Fund and db-X Managed Municipal Bond Fund under NYSE Arca Equities Rule 8.600
Comments due: February 5, 2014
See also:  Order: Rel. No. 34-71617

SR-NYSEArca-2013-121
34-71263 Jan. 9, 2014 Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of Shares of AdvisorShares Sage Core Reserves ETF under NYSE Arca Equities Rule 8.600
See also:  Notice: Rel. No. 34-70902

SR-NYSEArca-2013-148
34-71253 Jan. 7, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Options Rule 6.40 to Expand the Scope of the Existing Risk Limitation Mechanism to Address Multiple, Successive Triggers of the Risk Limitation Mechanism
Comments due: February 3, 2014

SR-NYSEArca-2013-118
34-71232 Jan. 3, 2014 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments Nos. 1 and 2, to List and Trade Shares of the Market Vectors Short High-Yield Municipal Index ETF Under NYSE Arca Equities Rule 5.2(j)(3), Commentary .02
Comments due: January 30, 2014
See also:  Notice: Rel. No. 34-70871

SR-NYSEArca-2013-115
34-71221 Jan. 2, 2014 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, to Adopt Commentary .03 to Rule 6.91 to Limit the Volume of Complex Orders by a Single OTP Holder or OTP Firm During the Trading Day
Comments due: January 29, 2014
See also:  Notice: Rel. No. 34-71184, Notice: Rel. No. 34-70817


NYSE Arca File Number List for 2014
Release No. Date Details

SR-NYSEArca-2014-43
34-71965 Apr. 17, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.62 to Remove the Size Restriction on Contra-Party Participation on a Qualified Contingent Cross Order
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEArca-2014-38
34-71960 Apr. 17, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Revising the Schedule for Implementing the Exchange's Recently Approved Retail Liquidity Program Pursuant to NYSE Arca Equities Rule 7.44
Comments due: 21 days after publication in the Federal Register

SR-NYSEArca-2014-36
34-71869 Apr. 4, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Applicable to Rule 6.65A(c), Which Addresses How the Exchange Treats Obvious and Catastrophic Errors During Periods of Extreme Market Volatility, until February 20, 2015
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEArca-2014-35
34-71946 Apr. 15, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule Regarding Transaction Fees and Credits
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEArca-2014-33
34-71912 Apr. 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Raise the Fee and Fee Cap for Market and Auction-Only Orders Executed in an Opening, Market Order or Trading Halt Auction; Modify the Fees Charges for Routing Orders to The New York Stock Exchange LLC; and Modify Certain Credits in the Basic Rate Pricing
Comments due: May 6, 2014
Additional Materials: Exhibit 5

SR-NYSEArca-2014-32
34-71807 Mar. 26, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Extend a Pilot Program Related to Rule 7.10, Entitled "Clearly Erroneous Executions"
Comments due: 21 days after publication in the Federal Register
Additional Materials:  Exhibit 5

SR-NYSEArca-2014-31
34-71845 Apr. 1, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Option Trading Rules to Extend the Operation of Its Pilot Program Regarding Minimum Value Sizes for Opening Transactions in New Series of Flexible Exchange Options
Comments due: 21 days after publication in the Federal Register
Additional Materials:  Exhibit 5

SR-NYSEArca-2014-30
34-71894 Apr. 7, 2014 Notice of Filing of Proposed Rule Change Relating to Listing and Trading Shares of Hull Tactical US ETF under NYSE Arca Equities Rule 8.600
Comments due: 21 days after publication in the Federal Register

SR-NYSEArca-2014-28
34-71909 Apr. 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Amending Rule to Change the Time By Which Purchase Orders and Redemption Orders Must Be Placed with Respect to the Market Vectors Low Volatility Commodity ETF and Market Vectors Long/Short Commodity ETF
Comments due: May 6, 2014

SR-NYSEArca-2014-27
34-71818 Mar. 27, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.62 to Specifically Address the Number and Size of Contra-Parties to a Qualified Contingent Cross Order
Comments due: 21 days after publication in the Federal Register
Additional Materials:  Exhibit 5

SR-NYSEArca-2014-26
34-71779 Mar. 24, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Changes to the Means of Achieving the Investment Objective Applicable to the db-X Ultra-Short Duration Fund
Comments due: 21 days after publication in the Federal Register

SR-NYSEArca-2014-25
34-71839 Apr. 1, 2014 Notice of Filing of Proposed Rule Change to Make Permanent Its Pilot Program Regarding Minimum Value Sizes for Opening Transactions in New Series of Flexible Exchange Options and Establish New Minimum Value Sizes Applicable to Other FLEX Transactions and FLEX Quotes
Comments due: 21 days after publication in the Federal Register
Additional Materials:  Exhibit 3, Exhibit 5

SR-NYSEArca-2014-24
34-71750 Mar. 19, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Expanding the Short-Term Option Series Program
Comments due: April 15, 2014
Additional Materials:  Exhibit 5

SR-NYSEArca-2014-23
34-71778 Mar. 24, 2014 Notice of Filing of Proposed Rule Change to List and Trade Shares of the iShares Interest Rate Hedged Corporate Bond ETF and iShares Interest Rate Hedged High Yield Bond ETF under NYSE Arca Equities Rule 8.600
Comments due: 21 days after publication in the Federal Register

SR-NYSEArca-2014-22
34-71722 Mar. 13, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Establish Pricing for the Retail Liquidity Program and Make Certain Changes Relating to Open Orders
Comments due: April 9, 2014
Additional Materials:  Exhibit 5

SR-NYSEArca-2014-21
34-71780 Mar. 24, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.44 to Change the Priority of Displayable Odd Lot Interest Within the Recently Approved Retail Liquidity Program
Comments due: 21 days after publication in the Federal Register
Additional Materials:  Exhibit 5

SR-NYSEArca-2014-20
34-71686 Mar. 11, 2014 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, Relating to the Listing and Trading of Reality Shares Isolated Dividend Growth ETF under NYSE Arca Equities Rule 8.600
Comments due: April 7, 2014

SR-NYSEArca-2014-19
34-71702 Mar. 12, 2014 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, to List and Trade Shares of the iShares Core Allocation Conservative ETF, iShares Core Allocation Moderate ETF, iShares Core Allocation Moderate Growth ETF, and iShares Core Allocation Growth ETF under NYSE Arca Equities Rule 8.600
Comments due: April 8, 2014
Comments received are available for this proposal.

SR-NYSEArca-2014-18
34-71635 Feb. 28, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reflect Changes to the Means of Achieving the Investment Objective Applicable to the Newfleet Multi-Sector Income ETF
Comments due: March 27, 2014

SR-NYSEArca-2014-17
34-71542 Feb. 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule Regarding Transaction Fees and Credits
Comments due: March 12, 2014

SR-NYSEArca-2014-13
34-71503 Feb. 6, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Add A New Pricing Tier Applicable to Orders that Add Liquidity on the Exchange
Comments due: March 5, 2014
Additional Materials:  Exhibit 5

SR-NYSEArca-2014-12
34-71483 Feb. 5, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Fees for NYSE ArcaBook
Comments due: March 4, 2014
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2014-11
34-71767 Mar. 21, 2014 Order Granting Approval of Proposed Rule Change to List and Trade Shares of the SPDR SSgA Risk Aware ETF; SPDR SSgA Large Cap Risk Aware ETF; and SPDR SSgA Small Cap Risk Aware ETF under NYSE Arca Equities Rule 8.600
34-71468 Feb. 3, 2014 Notice of Filing of Proposed Rule Change to List and Trade Shares of the SPDR SSgA Risk Aware ETF; SPDR SSgA Large Cap Risk Aware ETF; and SPDR SSgA Small Cap Risk Aware ETF under NYSE Arca Equities Rule 8.600
Comments due: February 28, 2014

SR-NYSEArca-2014-10
34-71895 Apr. 7, 2014 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt NYSE Arca Equities Rule 8.900, Which Permits the Listing and Trading of Managed Portfolio Shares, and to List and Trade Shares of the ActiveSharesSM Large-Cap Fund, ActiveSharesSM Mid-Cap Fund, and ActiveSharesSM Multi-Cap Fund Pursuant to that Rule
See also: Notice: Rel. No. 34-71588
34-71588 Feb. 20, 2014 Notice of Filing of Proposed Rule Change to Adopt NYSE Arca Equities Rule 8.900, Which Permits the Listing and Trading of Managed Portfolio Shares, and to List and Trade Shares of the ActiveSharesSM Large-Cap Fund, ActiveSharesSM Mid-Cap Fund, and ActiveSharesSM Multi-Cap Fund Pursuant to that Rule
Comments due: March 19, 2014
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2014-09
34-71475 Feb. 4, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Eliminate the Tape B Adding Tier and Modify the Tape B Step Up Tier
Comments due: March 3, 2014
Additional Materials:  Exhibit 5

SR-NYSEArca-2014-08
34-71721 Mar. 13, 2014 Order Granting Approval of Proposed Rule Change Relating to a Corporate Action in which Its Indirect Parent, NYSE Euronext Holdings LLC, Will Become a Wholly-Owned Subsidiary of IntercontinentalExchange, Inc.
Additional File Nos.: SR-NYSEMKT-2014-10, SR-NYSE-2014-04
34-71394 Jan. 24, 2014 Notice of Filing of Proposed Rule Change Relating to a Corporate Action in which Its Indirect Parent, NYSE Euronext Holdings LLC, Will Become a Wholly Owned Subsidiary of IntercontinentalExchange, Inc.
Comments due: February 20, 2014
Additional Materials:  Exhibit 5A, Exhibit 5B, Exhibit 5C, Exhibit 5D1, Exhibit 5D2, Exhibit 5E, and Exhibit 5F

SR-NYSEArca-2014-07
34-71386 Jan. 24, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Updating the Description of the Data Included in the ArcaBook Equities Data Feed
Comments due: February 20, 2014

SR-NYSEArca-2014-06
34-71409 Jan. 27, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase Its Options Regulatory Fee
Comments due: February 21, 2014
Additional Materials:  Exhibit 5

SR-NYSEArca-2014-05
34-71349 Jan. 17, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reflect a Change to the Means of Achieving the Investment Objective Applicable to the STARô Global Buy-Write ETF
Comments due: February 14, 2014

SR-NYSEArca-2014-04
34-71733 Mar. 18, 2014 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend its Rules by Revising the Order of Priority of Bids and Offers when Executing Orders in Open Outcry
34-71425 Jan. 28, 2014 Notice of Filing of Proposed Rule Change to Amend its Rules by Revising the Order of Priority of Bids and Offers when Executing Orders in Open Outcry
Comments due: February 26, 2014
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-NYSEArca-2014-03
34-71367 Jan. 22, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31(b)(2) to Specify that the Exchange Would Not Apply Limit Order Price Protection to Limit Orders Entered Before Core Trading Hours that are Designated for the Core Trading Session or the Market Order Auction
Comments due: February 18, 2014
Additional Materials:  Exhibit 5

SR-NYSEArca-2014-02
34-71631 Feb. 27, 2014 Order Granting Approval of Proposed Rule Change Amending Its Rules in Order to Clarify the Applicability and Functionality of Certain Order Types on the Exchange
34-71293 Jan. 14, 2014 Notice of Filing of Proposed Rule Change Amending Its Rules in Order to Clarify the Applicability and Functionality of Certain Order Types on the Exchange
Comments due: February 11, 2014
Additional Materials:  Exhibit 5

SR-NYSEArca-2014-01
34-71366 Jan. 22, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31 to Add a Minimum Execution Size Designation for Tracking Orders and MPL-IOC Orders
Comments due: February 18, 2014
Additional Materials:  Exhibit 5

 

http://www.sec.gov/rules/sro/nysearca.shtml


Modified: 04/18/2014