NYSE Arca Rulemaking

We encourage the public to submit comments on the following NYSE Arca 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 2020

Additional Archives

Chronological List for 2020

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Release No. Date Details
Second Quarter
SR-NYSEArca-2020-15
34-88540 Apr. 1, 2020 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes to Amend the Schedule of Wireless Connectivity Fees and Charges to Add Wireless Connectivity Services
Additional File Nos.: SR-NYSE-2020-11, SR-NYSECHX-2020-05, SR-NYSEAMER-2020-10, SR-NYSENAT-2020-08
SR-NYSEArca-2020-08
34-88539 Apr. 1, 2020 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes to Establish a Schedule of Wireless Connectivity Fees and Charges with Wireless Connections between the Mahwah, New Jersey Data Center and Other Data Centers
Additional File Nos.: SR-NYSE-2020-05, SR-NYSECHX-2020-02, SR-NYSEAMER-2020-05, SR-NYSENAT-2020-03
First Quarter
SR-NYSEArca-2019-92
34-88535 Apr. 1, 2020 Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Four Series of Active Proxy Portfolio Shares Issued by T. Rowe Price Exchange-Traded Funds, Inc. Under Proposed NYSE Arca Rule 8.601-E
Comments due: 21 days after publication in the Federal Register
Rebuttal comments due: 35 days after publication in the Federal Register
SR-NYSEArca-2019-96
34-88534 Apr. 1, 2020 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 Two Series of Active Proxy Portfolio Shares Issued by the American Century ETF Trust Under Proposed NYSE Arca Rule 8.601-E
Comments due: 21 days after publication in the Federal Register
Rebuttal comments due: 35 days after publication in the Federal Register
Comments received are available for this proposal.
SR-NYSEArca-2019-95
34-88533 Apr. 1, 2020 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 Adopt NYSE Arca Rule 8.601-E to Permit the Listing and Trading of Active Proxy Portfolio Shares and to List and Trade Shares of the Natixis ETF Under Proposed NYSE Arca Rule 8.601-E
Comments due: 21 days after publication in the Federal Register
Rebuttal comments due: 35 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSEArca-2020-26
34-88520 Mar. 31, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change for an Extension of the Temporary Waiver of the Co-location "Hot Hands" Fee
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSEArca-2020-21
34-88436 Mar. 20, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSEArca-2020-23
34-88414 Mar. 18, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.12-E Concerning the Resumption of Trading following a Level 3 Market-wide Circuit Breaker Halt
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSEArca-2020-20
34-88404 Mar. 17, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of Shares of the First Trust TCW Securitized Plus ETF under NYSE Arca Rule 8.600-E
Comments due: 21 days after publication in the Federal Register
SR-NYSEArca-2020-22
34-88398 Mar. 17, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change of a Temporary Waiver of the Co-location Hot Hands Fee
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSEArca-2019-77
34-88378 Mar. 13, 2020 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the AdvisorShares Pure US Cannabis ETF under NYSE Arca Rule 8.600-E
Comments due: 21 days after publication in the Federal Register
Rebuttal comments due: 35 days after publication in the Federal Register
SR-NYSEArca-2020-17
34-88369 Mar. 12, 2020 Notice of Filing of Proposed Rule Change Amending Rule 7.31-E (Orders and Modifiers) Relating to How Orders are Repriced and Make Related Changes to Rules 7.35-E, 7.36-E, and 7.38-E
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSEArca-2020-07
34-88364 Mar. 12, 2020 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Listing and Trading of Shares of the SPDR SSGA Responsible Reserves ESG ETF under NYSE Arca Rule 8.600-E
SR-NYSEArca-2020-18
34-88345 Mar. 9, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSEArca-2020-01
34-88330 Mar. 5, 2020 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend the Rule 11.6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail
SR-NYSEArca-2019-61
34-88319 Mar. 4, 2020 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Amend the Exchanges' Co-Location Services to Offer Co-Location Users Access to the NMS Network
Additional File Nos.: SR-NYSE-2019-46, SR-NYSENAT-2019-19, SR-NYSEAMER-2019-34
SR-NYSEArca-2019-39
34-88284 Feb. 26, 2020 Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, to Amend NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) and to List and Trade Shares of the United States Bitcoin and Treasury Investment Trust Under NYSE Arca Rule 8.201-E
SR-NYSEArca-2019-60
34-88255 Feb. 20, 2020 Notice of Filing of Amendment No. 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 4, to List and Trade Shares of the KFA Global Carbon ETF under NYSE Arca Rule 8.600-E
Comments due: March 18, 2020
SR-NYSEArca-2020-15
34-88239 Feb. 19, 2020 Notice of Filing of Proposed Rule Change to Amend the Schedule of Wireless Connectivity Fees and Charges to Add Wireless Connectivity Services
Comments due: March 17, 2020
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSEArca-2020-13
34-88230 Feb. 18, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges and the NYSE Arca Options Fees and Charges Related to Co-location Services
Comments due: March 16, 2020
Additional Materials: Exhibit 5
SR-NYSEArca-2019-81
34-88204 Feb. 13, 2020 Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Establish Generic Listing Standards for Derivative Securities Products that are Permitted to Operate in Reliance on Rule 6c-11 under the Investment Company Act of 1940
Comments due: March 12, 2020
Rebuttal comments due: March 26, 2020
Additional Materials: Exhibit 4, Exhibit 5
SR-NYSEArca-2019-95
34-88199 Feb. 13, 2020 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt NYSE Arca Rule 8.602-E to Permit the Listing and Trading of Actively Managed Solution Shares and to List and Trade Shares of the Natixis ETF Under Proposed NYSE Arca Rule 8.602-E
SR-NYSEArca-2019-96
34-88198 Feb. 13, 2020 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt NYSE Arca Rule 8.602-E to Permit the Listing and Trading of Actively Managed Solution Shares and to List and Trade Two Series of Actively Managed Solution Shares Issued by the American Century ETF Trust Under Proposed NYSE Arca Rule 8.602-E
SR-NYSEArca-2019-92
34-88197 Feb. 13, 2020 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt NYSE Arca Rule 8.601-E to Permit the Listing and Trading of Managed Portfolio Securities and to List and Trade Four Series of Managed Portfolio Securities Issued by T. Rowe Price Exchange-Traded Funds, Inc. Under Proposed NYSE Arca Rule 8.601-E
SR-NYSEArca-2020-12
34-88194 Feb. 13, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges
Comments due: March 12, 2020
Additional Materials: Exhibit 5
SR-NYSEArca-2020-11
34-88182 Feb. 12, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges
Comments due: March 11, 2020
Additional Materials: Exhibit 5
SR-NYSEArca-2020-10
34-88181 Feb. 12, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges
Comments due: March 11, 2020
Additional Materials: Exhibit 5
SR-NYSEArca-2020-08
34-88170 Feb. 11, 2020 Notice of Filing of Proposed Rule Change to Establish a Schedule of Wireless Connectivity Fees and Charges with Wireless Connections
Comments due: March 10, 2020
Additional Materials: Exhibit 5
SR-NYSEArca-2019-77
34-88066 Jan. 28, 2020 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the AdvisorShares Pure US Cannabis ETF under NYSE Arca Rule 8.600-E
SR-NYSEArca-2020-07
34-88031 Jan. 24, 2020 Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of the SPDR SSGA Responsible Reserves ESG ETF under NYSE Arca Rule 8.600-E
Comments due: February 20, 2020
SR-NYSEArca-2020-06
34-88009 Jan. 21, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Schedule of Fees and Charges to Remove the Ineligibility for Certain Discounts
Comments due: February 18, 2020
Additional Materials: Exhibit 5
SR-NYSEArca-2020-05
34-87994 Jan. 16, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges to Introduce Two New Pricing Tiers, Retail Order Step-Up Tier 3 and Retail Order Step-Up Tier 4
Comments due: February 13, 2020
Additional Materials: Exhibit 5
SR-NYSEArca-2020-01
34-87987 Jan. 16, 2020 Notice of Filing of Proposed Rule Change to Amend the Rule 11.6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail
Comments due: February 13, 2020
Additional Materials: Exhibit 5
SR-NYSEArca-2020-03
34-87978 Jan. 15, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges to Introduce a New Lead Market Maker Credit
Comments due: February 12, 2020
Additional Materials: Exhibit 5
SR-NYSEArca-2019-51
34-87963 Jan. 14, 2020 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, Regarding Investments of the Janus Henderson Mortgage-Backed Securities ETF
Comments due: February 11, 2020
SR-NYSEArca-2019-61
34-87928 Jan. 9, 2020 Notice of Filing of Amendment No. 1 to Proposed Rule Change Amending the NYSE Arca Options Fees and Charges and the NYSE Arca Equities Fees and Charges Related to Co-location Services in the Mahwah, New Jersey Data Center
Comments due: February 5, 2020
Additional Materials: Exhibit 5
SR-NYSEArca-2019-93
34-87917 Jan. 9, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Schedule of Fees and Charges to Modify the Annual Fees Applicable to Exchange Traded Products and Managed Fund Shares and Managed Trust Securities
Comments due: February 5, 2020
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSEArca-2020-04
34-87901 Jan. 7, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule Regarding the Floor Broker Prepayment Program
Comments due: February 3, 2020
Additional Materials: Exhibit 5
SR-NYSEArca-2019-78
34-87885 Jan. 3, 2020 Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the Innovator PTAM Core Bond Fund ETF Under NYSE Arca Rule 8.600-E

File Number List for 2020

Release No. Date Details
SR-NYSEArca-2020-26
34-88520 Mar. 31, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change for an Extension of the Temporary Waiver of the Co-location "Hot Hands" Fee
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSEArca-2020-23
34-88414 Mar. 18, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.12-E Concerning the Resumption of Trading following a Level 3 Market-wide Circuit Breaker Halt
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSEArca-2020-22
34-88398 Mar. 17, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change of a Temporary Waiver of the Co-location Hot Hands Fee
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSEArca-2020-21
34-88436 Mar. 20, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSEArca-2020-20
34-88404 Mar. 17, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of Shares of the First Trust TCW Securitized Plus ETF under NYSE Arca Rule 8.600-E
Comments due: 21 days after publication in the Federal Register
SR-NYSEArca-2020-18
34-88345 Mar. 9, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSEArca-2020-17
34-88369 Mar. 12, 2020 Notice of Filing of Proposed Rule Change Amending Rule 7.31-E (Orders and Modifiers) Relating to How Orders are Repriced and Make Related Changes to Rules 7.35-E, 7.36-E, and 7.38-E
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSEArca-2020-15
34-88540 Apr. 1, 2020 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes to Amend the Schedule of Wireless Connectivity Fees and Charges to Add Wireless Connectivity Services
Additional File Nos.: SR-NYSE-2020-11, SR-NYSECHX-2020-05, SR-NYSEAMER-2020-10, SR-NYSENAT-2020-08
34-88239 Feb. 19, 2020 Notice of Filing of Proposed Rule Change to Amend the Schedule of Wireless Connectivity Fees and Charges to Add Wireless Connectivity Services
Comments due: March 17, 2020
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSEArca-2020-13
34-88230 Feb. 18, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges and the NYSE Arca Options Fees and Charges Related to Co-location Services
Comments due: March 16, 2020
Additional Materials: Exhibit 5
SR-NYSEArca-2020-12
34-88194 Feb. 13, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges
Comments due: March 12, 2020
Additional Materials: Exhibit 5
SR-NYSEArca-2020-11
34-88182 Feb. 12, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges
Comments due: March 11, 2020
Additional Materials: Exhibit 5
SR-NYSEArca-2020-10
34-88181 Feb. 12, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges
Comments due: March 11, 2020
Additional Materials: Exhibit 5
SR-NYSEArca-2020-08
34-88539 Apr. 1, 2020 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes to Establish a Schedule of Wireless Connectivity Fees and Charges with Wireless Connections between the Mahwah, New Jersey Data Center and Other Data Centers
Additional File Nos.: SR-NYSE-2020-05, SR-NYSECHX-2020-02, SR-NYSEAMER-2020-05, SR-NYSENAT-2020-03
34-88170 Feb. 11, 2020 Notice of Filing of Proposed Rule Change to Establish a Schedule of Wireless Connectivity Fees and Charges with Wireless Connections
Comments due: March 10, 2020
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSEArca-2020-07
34-88364 Mar. 12, 2020 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Listing and Trading of Shares of the SPDR SSGA Responsible Reserves ESG ETF under NYSE Arca Rule 8.600-E
34-88031 Jan. 24, 2020 Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of the SPDR SSGA Responsible Reserves ESG ETF under NYSE Arca Rule 8.600-E
Comments due: February 20, 2020
SR-NYSEArca-2020-06
34-88009 Jan. 21, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Schedule of Fees and Charges to Remove the Ineligibility for Certain Discounts
Comments due: February 18, 2020
Additional Materials: Exhibit 5
SR-NYSEArca-2020-05
34-87994 Jan. 16, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges to Introduce Two New Pricing Tiers, Retail Order Step-Up Tier 3 and Retail Order Step-Up Tier 4
Comments due: February 13, 2020
Additional Materials: Exhibit 5
SR-NYSEArca-2020-04
34-87901 Jan. 7, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule Regarding the Floor Broker Prepayment Program
Comments due: February 3, 2020
Additional Materials: Exhibit 5
SR-NYSEArca-2020-03
34-87978 Jan. 15, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges to Introduce a New Lead Market Maker Credit
Comments due: February 12, 2020
Additional Materials: Exhibit 5
SR-NYSEArca-2020-01
34-88330 Mar. 5, 2020 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend the Rule 11.6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail
34-87987 Jan. 16, 2020 Notice of Filing of Proposed Rule Change to Amend the Rule 11.6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail
Comments due: February 13, 2020
Additional Materials: Exhibit 5