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NYSE MKT LLC Rulemaking

We encourage the public to submit comments on the following NYSE MKT 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
Second Quarter |  First Quarter

NYSE MKT File Number List for 2015

Additional Archives

Chronological List
Release No. Date Details
Second Quarter

SR-NYSEMKT-2015-17
34-75033 May 21, 2015 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Modify the Appointment Process Utilized by the Exchange
See also: Notice: Rel. No. 34-74636

SR-NYSEMKT-2015-23
34-75004 May 20, 2015 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Adopting a Principles-Based Approach to Prohibit the Misuse of Material Nonpublic Information by Specialists and e-Specialists by Deleting Rule 927.3NY and Section (f) of Rule 927.5NY
See also: Notice: Rel. No. 34-74677

SR-NYSEMKT-2015-38
34-74956 May 13, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Amex Options Fee Schedule Related to Fees and Credits Associated with the Customer Best Execution Auction
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-32
34-74930 May 12, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Constituent Documents of Its Intermediate Parent Companies NYSE Holdings LLC., Intercontinental Exchange, Inc., to Eliminate Certain Provisions That by Their Terms Have Become Void and Are of No Further Force and Effect as a Result of the Sale by ICE of Euronext N.V. in June 2014 and Make Conforming Changes to the Independence Policy of the Board of Directors of ICE
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-39
34-74920 May 8, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 975NY - Obvious Errors and Catastrophic Errors in Order to Harmonize Substantial Portions of the Rule with Recently Adopted, and Proposed Rules of Other Options Exchanges
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-35
34-74884 May 6, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE MKT Order Imbalances to Add a Late Fee In Connection with Failure to Submit the Non-display Use Declaration
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-36
34-74882 May 6, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE MKT BBO and NYSE MKT Trades to Add a Late Fee In Connection with Failure to Submit the Non-display Use Declaration
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-34
34-74885 May 6, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE MKT OpenBook to Add a Late Fee In Connection with Failure to Submit the Non-display Use Declaration
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-37
34-74875 May 5, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees NYSE Amex Options Market Data to Add a Late Fee In Connection with Failure to Submit the Non-display Use Declaration
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-31
34-74840 Apr. 29, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying its Rules to Provide for the Use of Ports that Provide Connectivity to the Exchange’s Trading Systems Solely for the Cancellation or “Takedown” of Quotes and Changes to the NYSE Amex Options Fee Schedule Related to This Quote Takedown Service
Comments due:  May 26, 2015
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-33
34-74838 Apr. 29, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 15 – Equities to Reflect that Exchange Systems Will Not Publish Order Imbalance Information on the Initial Public Offering of a Security
Comments due:  May 26, 2015

SR-NYSEMKT-2015-27
34-74825 Apr. 28, 2015 Notice of Filing of Proposed Rule Change to Amend the Sixth Amended and Restated Operating Agreement of the Exchange
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-29
34-74760 Apr. 17, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Amex Options Fee Schedule Relating to the Amex Customer Engagement Program
Comments due:  May 14, 2015
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-86
34-74704 Apr. 10, 2015 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Remove the Exchange's Quote Mitigation Plan as Provided by Exchange Rule 970.1
See also: Notice: Rel. No. 34-74087, Notice: Rel. No. 34-73718, Notice: Rel. No. 34-73367

SR-NYSEMKT-2014-95
34-74643A Apr. 9, 2015 Notice of Withdrawal of a Proposed Rule Change, as Modified by Partial Amendment No. 1 and Partial Amendment No. 2, Amending Rule 13 - Equities and Related Rules Governing Order Types and Modifiers; Correction
See also: Notice: Rel. No. 34-74643, Order: Rel. No. 34-74298, Notice: Rel. No. 34-73913, Notice: Rel. No. 34-73593

SR-NYSEMKT-2015-28
34-74695 Apr. 9, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period Applicable to the Customer Best Execution Auction per Rule 971.1 NY, until July 17, 2015
Comments due:  May 6, 2015
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-26
34-74693 Apr. 9, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Amex Options Fee Schedule to Adopt Fees for certain Manual Transactions in Options Overlying IWM
Comments due:  May 6, 2015
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-22
34-74682 Apr. 8, 2015 Notice of Filing of Proposed Rule Change Amending Rule 13-Equities and Related Rules Governing Order Types and Modifiers
Comments due: May 5, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEMKT-2015-23
34-74677 Apr. 8, 2015 Notice of Filing of Proposed Rule Change Adopting a Principles-Based Approach to Prohibit the Misuse of Material Nonpublic Information by Specialists and e-Specialists by Deleting Rule 927.3NY and Section (f) of Rule 927.5NY
Comments due: May 5, 2015
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-75004
Comments received are available for this proposal.

SR-NYSEMKT-2015-21
34-74650 Apr. 6, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 1000 - Equities to Reflect that Exchange Systems will Reject Incoming Orders of Over 1,000,000 Shares that are Marketable Upon Arrival
Comments due: May 1, 2015
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-95
34-74643 Apr. 3, 2015 Notice of Withdrawal of a Proposed Rule Change, as Modified by Partial Amendment No. 1 and Partial Amendment No. 2, Amending Rule 13 - Equities and Related Rules Governing Order Types and Modifiers
See also: 34-74643A; Order: Rel. No. 34-74298, Notice: Rel. No. 34-73913, Notice: Rel. No. 34-73593

SR-NYSEMKT-2015-20
34-74641 Apr. 2, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Specify that a Member Organization May Request that The Exchange Aggregate its Eligible Activity with Activity of the Member Organization's Affiliates For Purposes of Charges or Credits Based on Volume
Comments due: April 29, 2015
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-17
34-74636 Apr. 2, 2015 Notice of Filing of Proposed Rule Change Amending Rule 923NY to Refine the Appointment Process Utilized by the Exchange
Comments due: April 29, 2015
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-75033
First Quarter

SR-NYSEMKT-2015-19
34-74571 Mar. 24, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 - Equities Relating to Pegging Interest
Comments due: April 20, 2015
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-16
34-74540 Mar. 19, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Rules Governing the Short Term Option Series Program to Extend Current $0.50 Strike Price Intervals in Non-Index Options to Short Term Options with Strike Prices Less than $100
Comments due: April 15, 2015
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-18
34-74535 Mar. 19, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 900.3NY(w) and Rule 980NY(d)(1) to Delete the PNP Plus Designation for Electronic Complex Orders From Its Rules
Comments due: April 15, 2015
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-12
34-74473 Mar. 11, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Amex Options Fee Schedule to Amend the Fees Associated with Booth Space Provided at the Exchange
Comments due: April 7, 2015
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-14
34-74455 Mar. 6, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period for the Exchange's Retail Liquidity Program, which is Currently Scheduled to Expire on March 31, 2015, until September 30, 2015
Comments due: April 2, 2015
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-116
34-74440 Mar. 4, 2015 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule 967NY and to Adopt Rule 967.1NY to Provide Price Protection for Market Maker Quotes
See also: Notice: Rel. No. 34-74017

SR-NYSEMKT-2015-11
34-74408 Mar. 2, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Specifying in Exchange Rules the Exchange's Use of Certain Data Feeds for Order Handling and Execution, Order Routing, and Regulatory Compliance
Comments due: March 27, 2015
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-10
34-74309 Feb. 19, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Applicable to Rule 953.1NY(c), Obvious and Catastrophic Errors, Until October 23, 2015
Comments due: March 18, 2015
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-95
34-74298 Feb. 18, 2015 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1 and Partial Amendment No. 2, Amending Rule 13 - Equities and Related Rules Governing Order Types and Modifiers
Comments due: March 17, 2015
Rebuttal comments due: March 31, 2015
See also: 34-74643A; Notice: Rel. No. 34-74643, Notice: Rel. No. 34-73913, Notice: Rel. No. 34-73593

SR-NYSEMKT-2015-08
34-74220 Feb. 6, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Include Internet Protocol Network Connections and Fiber Cross Connects Between a User's Cabinet and Non-User's Equipment as Co-Location Services
Comments due: March 5, 2015
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-09
34-74209 Feb. 5, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Part 8 of the NYSE MKT Company Guide to (i) Require the Chief Executive Officers of Listed Companies to Provide Annual Certification with Respect to the Company's Compliance with the Requirements of Part 8 of the Company Guide, (ii) Require Listed Companies to Submit Annual and Interim Written Affirmations, and (iii) Make Certain Other Clarifying Changes
Comments due: March 4, 2015
Additional Materials: Exhibit 3, Exhibit 5

SR-NYSEMKT-2015-07
34-74180 Jan. 30, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule to Make a Change to the Amex Customer Engagement Program in Section I.E. of the Fee Schedule
Comments due: February 26, 2015
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-06
34-74127 Jan. 23, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing the NYSE MKT Integrated Feed Data Feed
Comments due:  February 19, 2015

SR-NYSEMKT-2015-05
34-74094 Jan. 20, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 123C - Equities to Specify that Exchange Systems May Close One or More Securities Electronically if a Designated Market Maker Registered in a Security or Securities Cannot Facilitate the Close of Trading as Required by Exchange Rules
Comments due:  February 17, 2015
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-86
34-74087 Jan. 16, 2015 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Remove the Exchange's Quote Mitigation Plan as Provided by Exchange Rule 970.1NY
Comments due:  February 13, 2015
Rebuttal comments due:  February 27, 2015
See also:  Notice: Rel. No. 34-73718, Notice: Rel. No. 34-73367

SR-NYSEMKT-2015-04
34-74086 Jan. 16, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule
Comments due:  February 13, 2015
Additional Materials:   Exhibit 5A, Exhibit 5B

SR-NYSEMKT-2015-01
34-74083 Jan. 16, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 140 and 141 of The NYSE MKT Company Guide to Adopt A New Flat Annual Fee of $5,000 for Listed Warrants
Comments due:  February 13, 2015

SR-NYSEMKT-2015-02
34-74064 Jan. 15, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a Price Protection Mechanism to Prevent the Automatic Execution of Incoming Market Orders and Marketable Limit Orders Outside a Specified Parameter and Eliminate Liquidity Replenishment Points and the Gap Quote Policy
Comments due:  February 12, 2015
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-97
34-74036 Jan. 12, 2015 Order Approving Proposed Rule Change Amending Rules 311 - Equities and 313 - Equities to Add Limited Liability Companies as Eligible Member Organizations and Delineate the Information Limited Liability Companies Must Submit to the Exchange as Part of the Membership Process; Eliminate the Requirement that a Member Corporation Be Created or Organized, and Maintain its Principal Place of Business, in the United States; and Make Additional Related Amendments to Update Its Membership Rules
See also: Notice: Rel. No. 34-73671

SR-NYSEMKT-2014-116
34-74017 Jan. 8, 2015 Notice of Filing of Proposed Rule Change to Amend Rule 967NY and to Adopt Rule 967.1NY to Provide Price Protection for Market Maker Quotes
Comments due:  February 4, 2015
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-74440
Comments received are available for this proposal.

SR-NYSEMKT-2014-114
34-73995 Jan. 6, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE MKT Order Imbalances
Comments due: February 2, 2015
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-108
34-73991 Jan. 6, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List to Eliminate Transaction Fees for Midpoint Passive Liquidity Orders that Remove Liquidity from the Exchange and that Are Designated with a "Retail" Modifier as Defined in Rule 13 - Equities
Comments due: February 2, 2015
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-115
34-73987 Jan. 5, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE MKT OpenBook MKT Order Imbalances
Comments due: January 30, 2015
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-113
34-73986 Jan. 5, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE MKT BBO and NYSE MKT Trades
Comments due: January 30, 2015
Additional Materials: Exhibit 5

SR-NYSEMKT-2014-117
34-73976 Jan. 2, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Its Program that Allows Transactions To Take Place at a Price that is Below $1 Per Option Contract until January 5, 2016
Comments due: January 28, 2015
Additional Materials: Exhibit 5


NYSEMKT File Number List for 2015
Release No. Date Details

SR-NYSEMKT-2015-39
34-74920 May 8, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 975NY - Obvious Errors and Catastrophic Errors in Order to Harmonize Substantial Portions of the Rule with Recently Adopted, and Proposed Rules of Other Options Exchanges
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-38
34-74956 May 13, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Amex Options Fee Schedule Related to Fees and Credits Associated with the Customer Best Execution Auction
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-37
34-74875 May 5, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees NYSE Amex Options Market Data to Add a Late Fee In Connection with Failure to Submit the Non-display Use Declaration
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-36
34-74882 May 6, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE MKT BBO and NYSE MKT Trades to Add a Late Fee In Connection with Failure to Submit the Non-display Use Declaration
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-35
34-74884 May 6, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE MKT Order Imbalances to Add a Late Fee In Connection with Failure to Submit the Non-display Use Declaration
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-34
34-74885 May 6, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE MKT OpenBook to Add a Late Fee In Connection with Failure to Submit the Non-display Use Declaration
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-33
34-74838 Apr. 29, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 15 – Equities to Reflect that Exchange Systems Will Not Publish Order Imbalance Information on the Initial Public Offering of a Security
Comments due:  May 26, 2015

SR-NYSEMKT-2015-32
34-74930 May 12, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Constituent Documents of Its Intermediate Parent Companies NYSE Holdings LLC., Intercontinental Exchange, Inc., to Eliminate Certain Provisions That by Their Terms Have Become Void and Are of No Further Force and Effect as a Result of the Sale by ICE of Euronext N.V. in June 2014 and Make Conforming Changes to the Independence Policy of the Board of Directors of ICE
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-31
34-74840 Apr. 29, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying its Rules to Provide for the Use of Ports that Provide Connectivity to the Exchange’s Trading Systems Solely for the Cancellation or “Takedown” of Quotes and Changes to the NYSE Amex Options Fee Schedule Related to This Quote Takedown Service
Comments due:  May 26, 2015
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-29
34-74760 Apr. 17, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Amex Options Fee Schedule Relating to the Amex Customer Engagement Program
Comments due:  May 14, 2015
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-28
34-74695 Apr. 9, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period Applicable to the Customer Best Execution Auction per Rule 971.1 NY, until July 17, 2015
Comments due:  May 6, 2015
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-27
34-74825 Apr. 28, 2015 Notice of Filing of Proposed Rule Change to Amend the Sixth Amended and Restated Operating Agreement of the Exchange
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-26
34-74693 Apr. 9, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Amex Options Fee Schedule to Adopt Fees for certain Manual Transactions in Options Overlying IWM
Comments due:  May 6, 2015
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-23
34-75004 May 20, 2015 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Adopting a Principles-Based Approach to Prohibit the Misuse of Material Nonpublic Information by Specialists and e-Specialists by Deleting Rule 927.3NY and Section (f) of Rule 927.5NY
34-74677 Apr. 8, 2015 Notice of Filing of Proposed Rule Change Adopting a Principles-Based Approach to Prohibit the Misuse of Material Nonpublic Information by Specialists and e-Specialists by Deleting Rule 927.3NY and Section (f) of Rule 927.5NY
Comments due: May 5, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEMKT-2015-22
34-74682 Apr. 8, 2015 Notice of Filing of Proposed Rule Change Amending Rule 13-Equities and Related Rules Governing Order Types and Modifiers
Comments due: May 5, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEMKT-2015-21
34-74650 Apr. 6, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 1000 - Equities to Reflect that Exchange Systems will Reject Incoming Orders of Over 1,000,000 Shares that are Marketable Upon Arrival
Comments due: May 1, 2015
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-20
34-74641 Apr. 2, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Specify that a Member Organization May Request that The Exchange Aggregate its Eligible Activity with Activity of the Member Organization's Affiliates For Purposes of Charges or Credits Based on Volume
Comments due: April 29, 2015
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-19
34-74571 Mar. 24, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 - Equities Relating to Pegging Interest
Comments due: April 20, 2015
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-18
34-74535 Mar. 19, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 900.3NY(w) and Rule 980NY(d)(1) to Delete the PNP Plus Designation for Electronic Complex Orders From Its Rules
Comments due: April 15, 2015
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-17
34-75033 May 21, 2015 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Modify the Appointment Process Utilized by the Exchange
34-74636 Apr. 2, 2015 Notice of Filing of Proposed Rule Change Amending Rule 923NY to Refine the Appointment Process Utilized by the Exchange
Comments due: April 29, 2015
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-16
34-74540 Mar. 19, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Rules Governing the Short Term Option Series Program to Extend Current $0.50 Strike Price Intervals in Non-Index Options to Short Term Options with Strike Prices Less than $100
Comments due: April 15, 2015
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-14
34-74455 Mar. 6, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period for the Exchange's Retail Liquidity Program, which is Currently Scheduled to Expire on March 31, 2015, until September 30, 2015
Comments due: April 2, 2015
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-12
34-74473 Mar. 11, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Amex Options Fee Schedule to Amend the Fees Associated with Booth Space Provided at the Exchange
Comments due: April 7, 2015
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-11
34-74408 Mar. 2, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Specifying in Exchange Rules the Exchange's Use of Certain Data Feeds for Order Handling and Execution, Order Routing, and Regulatory Compliance
Comments due: March 27, 2015
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-10
34-74309 Feb. 19, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Applicable to Rule 953.1NY(c), Obvious and Catastrophic Errors, Until October 23, 2015
Comments due: March 18, 2015
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-09
34-74209 Feb. 5, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Part 8 of the NYSE MKT Company Guide to (i) Require the Chief Executive Officers of Listed Companies to Provide Annual Certification with Respect to the Company's Compliance with the Requirements of Part 8 of the Company Guide, (ii) Require Listed Companies to Submit Annual and Interim Written Affirmations, and (iii) Make Certain Other Clarifying Changes
Comments due: March 4, 2015
Additional Materials: Exhibit 3, Exhibit 5

SR-NYSEMKT-2015-08
34-74220 Feb. 6, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Include Internet Protocol Network Connections and Fiber Cross Connects Between a User's Cabinet and Non-User's Equipment as Co-Location Services
Comments due: March 5, 2015
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-07
34-74180 Jan. 30, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule to Make a Change to the Amex Customer Engagement Program in Section I.E. of the Fee Schedule
Comments due: February 26, 2015
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-06
34-74127 Jan. 23, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing the NYSE MKT Integrated Feed Data Feed
Comments due:  February 19, 2015

SR-NYSEMKT-2015-05
34-74094 Jan. 20, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 123C - Equities to Specify that Exchange Systems May Close One or More Securities Electronically if a Designated Market Maker Registered in a Security or Securities Cannot Facilitate the Close of Trading as Required by Exchange Rules
Comments due:  February 17, 2015
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-04
34-74086 Jan. 16, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule
Comments due:  February 13, 2015
Additional Materials:   Exhibit 5A, Exhibit 5B

SR-NYSEMKT-2015-02
34-74064 Jan. 15, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a Price Protection Mechanism to Prevent the Automatic Execution of Incoming Market Orders and Marketable Limit Orders Outside a Specified Parameter and Eliminate Liquidity Replenishment Points and the Gap Quote Policy
Comments due:  February 12, 2015
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-01
34-74083 Jan. 16, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 140 and 141 of The NYSE MKT Company Guide to Adopt A New Flat Annual Fee of $5,000 for Listed Warrants
Comments due:  February 13, 2015

 

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


Modified: 05/22/2015