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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
Third Quarter |  Second Quarter |  First Quarter

NYSE MKT File Number List for 2016

Additional Archives

Chronological List
Release No. Date Details
Third Quarter

SR-NYSEMKT-2016-15
34-78951 Sep. 27, 2016 Notice of Withdrawal of a Proposed Change, as Modified by Amendment Nos. 1 and 2, Establishing Fees Relating to End Users and Amending the Definition of "Affiliate," as well as Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule to Reflect the Changes
See also: Notice: Rel. No. 34-78389, Notice: Rel. No. 34-77978, Notice: Rel. No. 34-77640

SR-NYSEMKT-2016-89
34-78914 Sep. 23, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add to the Rules of the Exchange the Tenth Amended and Restated Operating Agreement of the New York Stock Exchange LLC
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5a, Exhibit 5b

SR-NYSEMKT-2016-68
34-78917 Sep. 23, 2016 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 and Partial Amendment No. 2, Amending Exchange Rule 49 Regarding the Exchange's: (1) Emergency Powers; (2) Disaster Recovery Plans; and (3) Backup Systems and Mandatory Testing
See also: Notice: Rel. No. 34-78297

SR-NYSEMKT-2016-73
34-78888 Sep. 20, 2016 Order Approving Proposed Rule Changes to Provide for the Rejection of Certain Electronic Complex Orders
See also: Notice: Rel. No. 34-78544
Additional File No.: SR-NYSEArca-2016-109

SR-NYSEMKT-2016-86
34-78829 Sep. 13, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Deadline for Implementing Rule 967.1NY(a)(2) and (3) until September 30, 2016
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-84
34-78817 Sep. 12, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 67 - Equities to Modify Certain Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due:  October 7, 2016
Additional Materials: Exhibit 5
See Also: Exemptive Letter
Comments received are available for this proposal.

SR-NYSEMKT-2016-58
34-78804 Sep. 9, 2016 Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to NYSE MKT Rules 1600 et seq. and the Listing Rules Applicable to the Shares of the Nuveen Diversified Commodity Fund and the Nuveen Long/Short Commodity Total Return Fund
Comments due:  October 6, 2016
Rebuttal comments due:  October 20, 2016
See also: Notice: Rel. No. 34-78432, Notice: Rel. No. 34-78000

SR-NYSEMKT-2016-83
34-78803 Sep. 9, 2016 Notice of Filing of Proposed Rule Change Amending Rule 67 - Equities Relating to the Tick Size Pilot Program
Comments due:  September 29, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEMKT-2016-87
34-78780 Sep. 7, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 903 and Rule 900.2NY(50)
Comments due:  October 4, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-82
34-78751 Sep. 1, 2016 Notice of Filing and Immediate Effectiveness of Proposed Change Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule to Amend the Date That Two Wireless Connections to Third Party Data Feeds Are Expected to Be Available
Comments due:  September 29, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-48
34-78744 Aug. 31, 2016 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Certain Rules Relating to Flexible Exchange Options
See also: Notice: Rel. No. 34-78348

SR-NYSEMKT-2016-13
34-78742 Aug. 31, 2016 Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule 955NY(c) by Revising the Clearing Member Requirements for Entering an Order into the Electronic Order Capture System
See also: Notice: Rel. No. 34-78238, Notice: Rel. No. 34-77910, Notice: Rel. No. 34-77518

SR-NYSEMKT-2016-75
34-78721 Aug. 30, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 9217 to Add a Provision and Related Fines Addressing Trade-Through Violations
Comments due:  September 27, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-81
34-78692 Aug. 26, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 – Equities to Eliminate Orders with a Sell “Plus ” and Buy “Minus ” Instruction and Retain Orders with a “Buy Minus Zero Plus ” Instruction, and Make Conforming Changes to Rules 104 – Equities, 07B – Equities, 123C – Equities and 1004 – Equities
Comments due:  September 21, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-77
34-78685 Aug. 25, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 900.2NY(18A)
Comments due:  September 21, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-79
34-78673 Aug. 25, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules Relating to Pre-Opening Indications and Opening Procedures
Comments due:  September 21, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-80
34-78663 Aug. 24, 2016 Notice of Filing of Proposed Rule Change Amending and Restating the Second Amended and Restated Certificate of Incorporation of the Exchange's Ultimate Parent Company, Intercontinental Exchange, Inc.
Comments due:  September 20, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEMKT-2016-63
34-78629 Aug. 22, 2016 Notice of Filing of Proposed Change Amending the Co-location Services Offered by the Exchange to Add Certain Access and Connectivity Fees
Comments due: September 16, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-76
34-78602 Aug. 17, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program
Comments due: September 13, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-52
34-78598 Aug. 17, 2016 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Rules 340, 341, and 359 to Extend the Time Within Which a Member, Member Organization, or an ATP Holder Must File a Uniform Termination Notice for Securities Industry Registration ("U5")
See also: Notice: Rel. No. 34-78198

SR-NYSEMKT-2016-62
34-78586 Aug. 16, 2016 Notice of Filing of Proposed Rule Change Amending Section 146 of the NYSE MKT Company Guide to Adjust the Entitlement to Services of Special Purpose Acquisition Companies
Comments due: September 12, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-74
34-78548 Aug. 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Change to Modify the NYSE Amex Options Fee Schedule
Comments due: September 7, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-73
34-78544 Aug. 11, 2016 Notice of Filing of Proposed Rule Change Amending Rule 980NY(d) to Provide for the Rejection of Certain Electronic Complex Orders
Comments due: September 7, 2016
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-78888

SR-NYSEMKT-2016-72
34-78500 Aug. 8, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NYSE MKT Rule 19 – Equities to Specify in Exchange Rules the Exchange's Use of Data Feeds from Investors' Exchange, LLC for Order Handling and Execution, Order Routing, and Regulatory Compliance
Comments due: September 2, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-68
34-78483 Aug. 5, 2016 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Amending NYSE Rule 49 — Equities Regarding: (1) the Exchange's Emergency Powers; (2) the Exchange's Disaster Recovery Plans; and (3) Exchange Backup Systems and Mandatory Testing
Comments due:September 1, 2016
Additional Materials: Exhibit 4, Exhibit 5
Comments received are available for this proposal.

SR-NYSEMKT-2016-58
34-78432 Jul. 28, 2016 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Amendments to NYSE MKT Rules 600 et seq. and the Listing Rules Applicable to the Shares of the Nuveen Diversified Commodity Fund and the Nuveen Long/Short Commodity Total Return Fund
See also:  Order: Rel. No. 34-78804, Notice: Rel. No. 34-78000

SR-NYSEMKT-2016-15
34-78389 Jul. 21, 2016 Notice of Filing of Amendment No. 2 to a Proposed Rule Change and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Change, as Modified by Amendment Nos. 1 and 2, Establishing Fees Relating to End Users and Amending the Definition of "Affiliate," as well as Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule to Reflect the Changes
Comments due: August 17, 2016
Rebuttal comments due: August 31, 2016
See also: Notice Release No. 34-78951, Notice Release No. 34-77978, Notice Release No. 34-77640

SR-NYSEMKT-2016-70
34-78376 Jul. 21, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule
Comments due: August 17, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-49
34-78367 Jul. 20, 2016 Notice of Withdrawal of Proposed Rule Change Amending the Definition of "Block" for Purposes of Rule 72(d) - Equities and the Size of a Proposed Cross Transaction Eligible for the Cross Function in Rule 76 - Equities
See also: Notice: Rel. No. 34-77951, Notice: Rel. No. 34-77734

SR-NYSEMKT-2016-48
34-78348 Jul. 15, 2016 Notice of Filing of Proposed Rule Change to Amend Certain Rules Related to Flexible Exchange Options
Comments due: August 11, 2016
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-78744
Comments received are available for this proposal.

SR-NYSEMKT-2016-69
34-78324 Jul. 14, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Applicable to the Customer Best Execution Auction Per Rule 971.1NY
Comments due: August 10, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-67
34-78297 Jul. 12, 2016 Notice of Filing and Immediate Effectiveness of Proposed Change to Modify the NYSE Amex Options Fee Schedule effective July 1, 2016
Comments due:  August 8, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-42
34-78283 Jul. 11, 2016 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule 952NY with Respect to Opening Trading in an Options Series
Comments due:  August 5, 2016
See also: Notice: Rel No. 34-77911, Notice: Rel No. 34-77540

SR-NYSEMKT-2016-66
34-78266 Jul. 8, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 975NY Regarding Transactions that Qualify as a Catastrophic Error as it Relates to Binary Return Derivatives Contracts
Comments due: August 4, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-65
34-78241 Jul. 7, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .07 to Rule 904 to Extend the Pilot Program that Eliminated the Position Limits for Options on SPDR S&P 500 ETF
Comments due: August 3, 2016
Rebuttal comments due: August 17, 2016
Additional Materials: Exhibit 3, Exhibit 5

SR-NYSEMKT-2016-13
34-78238 Jul. 7, 2016 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule 955NY(c) by Revising the Clearing Member Requirement for Entering an Order into the Electronic Order Capture System
Comments due: August 3, 2016
Rebuttal comments due: August 17, 2016
See also:  Notice: Rel. No. 34-78742, Notice: Rel. No. 34-77910, Notice: Rel. No. 34-77518
Second Quarter

SR-NYSEMKT-2016-52
34-78198 Jun. 30, 2016 Notice of Filing of Proposed Rule Change Amending Rules 340, 341, and 359 to Extend the Time Within Which a Member or Member Organization or an ATP Holder Must File a Uniform Termination Notice for Securities Industry Registration
Comments due: July 28, 2016
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-78598
Comments received are available for this proposal.

SR-NYSEMKT-2016-61
34-78176 Jun. 28, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to NYSE Amex Options Rule 960NY in Order to Extend the Penny Pilot through December 31, 2016
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-64
34-78155 Jun. 24, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change for A Temporary Suspension of Those Aspects of Rules 36.20 - Equities and 36.21 - Equities that Would Not Permit Floor Brokers to Use Personal Portable Phone Devices on the Trading Floor Due to the Unavailability of Floor Broker Telephone Services
Comments due:  July 21, 2016

SR-NYSEMKT-2016-60
34-78117 Jun. 21, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Amex Options Fee Schedule
Comments due:  July 18, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-59
34-78106 Jun. 20, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting New NYSE MKT Rules 2090 – Equities (Know Your Customer) and 2111 – Equities (Suitability) that are Substantially Similar to FINRA Rules 2090 (Know Your Customer) and 2111(Suitability), Deleting Current NYSE MKT Rule 405 – Equities (Diligence as to Accounts), and Making Other Conforming Changes
Comments due:  July 15, 2016

SR-NYSEMKT-2016-45
34-78029 Jun. 9, 2016 Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Modify the NYSE Amex Options Fee Schedule with Respect to Fees, Rebates, and Credits for Transactions in the Customer Best Execution Auction
Comments due: July 6, 2016
Rebuttal comments due: July 20, 2016
See also: Notice: Rel. No. 34-77658
Comments received are available for this proposal.

SR-NYSEMKT-2016-31
34-78015 Jun. 8, 2016 Notice of Filings of Amendment No. 1, and Order Granting Accelerated Approval of Proposed Rule Changes, as Modified by Amendment No. 1, to Provide for How the Exchanges Would Determine an Official Closing Price if the Exchanges are Unable to Conduct a Closing Transaction
Comments due: July 5, 2016
Additional File No.: SR-NYSE-2016-18
See also:  Notice: Rel. No. 34-77306; Notice: Rel. No. 34-77676

SR-NYSEMKT-2016-58
34-78000 Jun. 7, 2016 Notice of Filing of Proposed Rule Change Relating to Amendments to NYSE MKT Rules 1600 et seq. and to Changes to the Names and Operation of the Nuveen Diversified Commodity Fund and the Nuveen Long/Short Commodity Total Return Fund
Comments due: July 5, 2016
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-78804, Notice: Rel. No. 34-78432
Comments received are available for this proposal.

SR-NYSEMKT-2016-15
34-77978 Jun. 2, 2016 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, to Establish Certain End User Fees, Amend the Definition of Affiliate, and Amend the Co-location Section of the Fee Schedule to Reflect the Changes
See also: Notice: Rel. No. 34-78951, Notice Release No. 34-78389, Notice: Rel. No. 34-77640

SR-NYSEMKT-2016-57
34-77973 Jun. 2, 2016 Notice of Filing and Immediate Effectiveness of Proposed Change Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule to Eliminate Certain Services that are No Longer Utilized by Users and to Remove Obsolete Text
Comments due: June 29, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-49
34-77951 May 31, 2016 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Amending the Definition of “Block” for Purposes of Rule 72(d) - Equities and the Size of a Proposed Cross Transaction Eligible for the Cross Function in Rule 76 - Equities
See also: Notice: Rel. No. 34-78367, Notice: Rel. No. 34-77734

SR-NYSEMKT-2016-56
34-77949 May 31, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing the Quoting and Trading Provisions of the Plan to Implement a Tick Size Pilot Program Submitted to the Commission Pursuant to Rule 608 of Regulation NMS under the Act
Comments due: June 27, 2016
Additional Materials: Exhibit 5
See Also: Exemptive Letter

SR-NYSEMKT-2016-42
34-77911 May 25, 2016 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend Rule 952NY with Respect to Opening Trading in an Options Series
See also: Notice: Rel. No. 34-78283, Notice: Rel. No. 34-77540

SR-NYSEMKT-2016-13
34-77910 May 25, 2016 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule 955NY(c) by Revising the Clearing Member Requirements for Entering an Order into the Electronic Order Capture System
See also:  Notice: Rel. No. 34-78742, Order: Rel. No. 34-78238, Notice: Rel. No. 34-77518

SR-NYSEMKT-2016-55
34-77902 May 25, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 930NY Regarding Definition of Floor Broker
Comments due: June 22, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-26
34-77901 May 25, 2016 Order Approving a Proposed Rule Change, as Modified by Amendment No.1 Thereto, to Amend the Eighth Amended and Restated Operating Agreement of the Exchange
See also: Notice: Rel. No. 34-77536

SR-NYSEMKT-2016-54
34-77859 May 19, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 - Equities and Related Rules Regarding Market Orders
Comments due:  June 15, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-53
34-77836 May 16, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Definition of Professional Customer in Rule 900.2NY(18A)
Comments due: June 10, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-50
34-77814 May 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Change Modifying the NYSE Amex Options Fee Schedule
Comments due: June 7, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-51
34-77808 May 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 98 - Equities
Comments due: June 7, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-20
34-77782 May 6, 2016 Order Approving Proposed Rule Change Amending and Restating the Fifth Amended and Restated Bylaws of the Exchanges’ Ultimate Parent Company, Intercontinental Exchange, Inc., to Implement Proxy Access
Additional File Nos.: SR-NYSE-2016-14, SR-NYSEArca-2016-25
See also: Notice: Rel. No. 34-77386

SR-NYSEMKT-2016-47
34-77749 Apr. 29, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 967.1NY Regarding Price Protection for Market Maker Quotes
Comments due: May 26, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-49
34-77734 Apr. 27, 2016 Notice of Filing of Proposed Rule Change Amending the Definition of "Block" for Purposes of Rule 72(d) – Equities and the Size of a Proposed Cross Transaction Eligible for the Cross Function in Rule 76 - Equities
Comments due: May 24, 2016
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-78367, Notice: Rel. No. 34-77951

SR-NYSEMKT-2016-17
34-77680 Apr. 21, 2016 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Establish Procedures for the Allocation of Cages to Co-located Users, Including the Waiver of Certain Fees, and to Amend the Visitor Security Escort Fee
See also: Notice: Rel. No. 34-77304

SR-NYSEMKT-2016-31
34-77676 Apr. 21, 2016 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Amending Rule 123C-Equities to Provide for How the Exchange Would Determine an Official Closing Price if the Exchange is Unable to Conduct a Closing Transaction
See also: Notice: Rel. No. 34-77306

SR-NYSEMKT-2016-45
34-77658 Apr. 20, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Amex Options Fee Schedule
Comments due:  May 17, 2016
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-78029

SR-NYSEMKT-2016-15
34-77640 Apr. 18, 2016 Notice of Filing of Proposed Rule Change Establishing Fees Relating to End Users and Amending the Definition of "Affiliate," as well as Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule to Reflect the Changes
Comments due:  May 13, 2016
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-78951, Notice Release No. 34-78389, Notice: Rel. No. 34-77978
Comments received are available for this proposal.

SR-NYSEMKT-2016-43
34-77605 Apr. 13, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 72 - Equities Relating to Setting Interest
Comments due:  May 10, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-42
34-77540 Apr. 6, 2016 Notice of Filing of Proposed Rule Change to Amend Rule 952NY with Respect to Opening Trading in an Options Series
Comments due:  May 3, 2016
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-78283, Notice: Rel. No. 34-77911
Comments received are available for this proposal.

SR-NYSEMKT-2016-26
34-77536 Apr. 6, 2016 Notice of Filing of Proposed Rule Change Amending the Eighth Amended and Restated Operating Agreement of the Exchange
Comments due:  May 3, 2016
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-77901
Comments received are available for this proposal.

SR-NYSEMKT-2016-13
34-77518 Apr. 5, 2016 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule 955NY(c) by Revising the Clearing Member Requirements for Entering an Order into the Electronic Order Capture System ("EOC")
Comments due:  May 2, 2016
Additional Materials: Exhibit 5
See also:  Notice: Rel. No. 34-78742, Order: Rel. No. 34-78238, Notice: Rel. No. 34-77910
Comments received are available for this proposal.
First Quarter

SR-NYSEMKT-2016-40
34-77478 Mar. 30, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting Requirements for the Collection and Transmission of Data Pursuant to Appendices B and C of the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: April 26, 2016
Additional Materials: Exhibit 5
See Also: Exemptive Letter

SR-NYSEMKT-2016-41
34-77435 Mar. 23, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 964.2NY Regarding the Participation Entitlement Formula for Specialists and e-Specialists
Comments due: April 19, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-38
34-77433 Mar. 23, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 – Equities to Expand the Availability of Self-Trade Prevention Modifiers to Non-Algorithmically Entered Floor Broker Interest
Comments due: April 19, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-39
34-77424 Mar. 23, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program
Comments due: April 19, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEMKT-2016-12
34-77401 Mar. 17, 2016 Order Approving Proposed Rule Change Amending the NYSE MKT Company Guide to Create a New Section 146 Under Which a Certain Category of Newly Listed Issuers Would Be Entitled to Receive Complimentary Products and Services from the Exchange
See also: Notice: Rel. No. 34-76996

SR-NYSEMKT-2016-37
34-77389 Mar. 17, 2016 Notice of Filing and Immediate Effectiveness of Proposed Change Adopting a Decommission Extension Fee for receipt of the NYSE MKT BBO and NYSE MKT Trades Market Data Products
Comments due:  April 12, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-20
34-77386 Mar. 17, 2016 Notice of Filing of Proposed Rule Change Amending and Restating the Fifth Amended and Restated Bylaws of the Exchange’s Ultimate Parent Company, Intercontinental Exchange, Inc., to Implement Proxy Access
Comments due:  April 12, 2016
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-77782

SR-NYSEMKT-2016-33
34-77371 Mar. 15, 2016 Notice of Filing and Immediate Effectiveness of Proposed Change to Amend its Price List Effective March 1, 2016
Comments due: April 11, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-35
34-77370 Mar. 15, 2016 Notice of Filing and Immediate Effectiveness of Proposed Change Modifying the NYSE Amex Options Fee Schedule
Comments due: April 11, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-36
34-77356 Mar. 14, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Deadline for Implementing Rule 967.1NY(a)(2) and (3)
Comments due: April 8, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-29
34-77348 Mar. 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 401 and 402 of the NYSE MKT Company Guide to Harmonize the Exchange’s Immediate Release and Trading Halt Policies
Comments due: April 7, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-17
34-77304 Mar. 7, 2016 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Establishing Procedures for the Allocation of Cages to Its Co-located Users, Including the Waiver of Certain Fees, and to Amend the Visitor Security Escort Requirements and Fee
Comments due: April 1, 2016
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-77680
Comments received are available for this proposal.

SR-NYSEMKT-2016-31
34-77306 Mar. 7, 2016 Notice of Filing of Proposed Rule Change Amending Rule 123C-Equities to Provide for How the Exchange Would Determine an Official Closing Price if the Exchange is Unable to Conduct a Closing Transaction
Comments due: April 1, 2016
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-77676

SR-NYSEMKT-2016-34
34-77293 Mar. 4, 2016 Notice of Filing and Immediate Effectiveness of Proposed Change to Modify the NYSE Amex Options Fee Schedule Relating to ByRDs Transaction Fees
Comments due: March 31, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-32
34-77279 Mar. 3, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Change Amending the Fees for NYSE MKT Proprietary Market Data as They Apply to Federal Agency Customers
Comments due: March 29, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-28
34-77275 Mar. 2, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Change Amending the Fees for NYSE Amex Options Proprietary Market Data as They Apply to Federal Agency Customers
Comments due: March 29, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-30
34-77241 Feb. 26, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting Investigation, Disciplinary, Sanction, and Other Procedural Rules Modeled on the Rules of the New York Stock Exchange LLC and Certain Conforming and Technical Changes
Comments due: March 24, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-27
34-77210 Feb. 23, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 1206 and 1212T of the NYSE MKT Company Guide
Comments due: March 21, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-22
34-77174 Feb. 18, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 341A(a)(4) to Provide for Web-Based Delivery of the Exchange’s Continuing Education Program
Comments due:  March 16, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-21
34-77168 Feb. 18, 2016 Notice of Filing and Immediate Effectiveness of Proposed Change Amending the NYSE Amex Options Fee Schedule
Comments due:  March 15, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-02
34-77120 Feb. 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Co-location Services Offered by the Exchange to Include a Means for Co-located Users to Receive the NASDAQ TotalView Ultra Market Data Feed Through a Wireless Connection and Reflect Changes to the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule
Comments due:  March 10, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-23
34-77110 Feb. 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Amex Options Deep Market Data Product
Comments due:  March 10, 2016

SR-NYSEMKT-2016-18
34-77106 Feb. 10, 2016 Notice of Filing and Immediate Effectiveness of Proposed Change Modifying the NYSE Amex Options Fee Schedule
Comments due:  March 9, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-19
34-77085 Feb. 9, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 990NY(8) to Correct a Typographical Error
Comments due: March 8, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-14
34-77074 Feb. 5, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Supplementary Material .10 to Rule 103B – Equities to Provide that Any Senior Official of a Listed Company with the Rank of Corporate Secretary or Higher can Sign the Written Request of a Listed Company Seeking to Change Its Designated Market Maker Unit
Comments due: March 3, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-89
34-77071 Feb. 5, 2016 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 2, to Provide that the Co-location Services Offered by the Exchange include Three Time Feeds and Four Partial Cabinet Bundle Options
Comments due: March 3, 2016

SR-NYSEMKT-2015-56
34-77047 Feb. 3, 2016 Notice of Withdrawal of Proposed Rule Changes Amending the NYSE Trades Market Data and NYSE MKT Trades Market Data Product Offerings
Additional File No.: SR-NYSE-2015-31
See also: Notice: Rel. No. 34-75556, Notice: Rel. No. 34-75937, Notice: Rel. No. 34-75559

SR-NYSEMKT-2015-106
34-77008 Feb. 1, 2016 Order Approving Proposed Rule Change Amending the Seventh Amended and Restated Operating Agreement of the Exchange to Establish a Committee for Review as a Sub-Committee of the ROC and Make Conforming Changes to Rules and the NYSE MKT Company Guide
See also: Notice: Rel. No. 34-76638

SR-NYSEMKT-2016-16
34-77014 Feb. 2, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Certain of Its Rules Related to Binary Return Derivatives Contracts
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-12
34-76996 Jan. 28, 2016 Notice of Filing of Proposed Rule Change Amending the NYSE MKT Company Guide to Create a New Section 146 Under Which a Certain Category of Newly Listed Issuers Would Be Entitled to Receive Complimentary Products and Services from the Exchange
Comments due: February 24, 2016
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-76996

SR-NYSEMKT-2016-10
34-76992 Jan. 28, 2016 Notice of Filing and Immediate Effectiveness of Proposed Change Modifying the NYSE Amex Options Fee Schedule to Add an Early Adopter Specialist Credit
Comments due: February 24, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-80
34-76982 Jan. 28, 2016 Order Approving a Proposed Rule Change Deleting Rule 410B – Equities Governing Reporting Requirements for Off-Exchange Transactions
See also: Notice: Rel. No. 34-76276, Notice: Rel. No. 34-76669

SR-NYSEMKT-2016-11
34-76975 Jan. 26, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Fees for NYSE MKT Integrated Feed
Comments due: February 22, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-09
34-76935 Jan. 20, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Amex Options Fee Schedule
Comments due: February 16, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-05
34-76911 Jan. 14, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE MKT Order Imbalances
Comments due: February 11, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-07
34-76907 Jan. 14, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 132.30(9) – Equities to Conform the Exchange’s Rules to Industry-Wide Standards for Recording the Capacity in Which a Member Organization Executes a Transaction
Comments due: February 11, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-04
34-76906 Jan. 14, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE MKT BBO and NYSE MKT Trades
Comments due: February 11, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-03
34-76901 Jan. 14, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE MKT OpenBook
Comments due: February 11, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2015-113
34-76889 Jan. 13, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Market Data Fees for the NYSE Amex Options Product
Comments due: February 10, 2016
Additional Materials: Exhibit 5


NYSEMKT File Number List for 2016
Release No. Date Details

SR-NYSEMKT-2016-89
34-78914 Sep. 23, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add to the Rules of the Exchange the Tenth Amended and Restated Operating Agreement of the New York Stock Exchange LLC
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5a, Exhibit 5b

SR-NYSEMKT-2016-87
34-78780 Sep. 7, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 903 and Rule 900.2NY(50)
Comments due:  October 4, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-86
34-78829 Sep. 13, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Deadline for Implementing Rule 967.1NY(a)(2) and (3) until September 30, 2016
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-84
34-78817 Sep. 12, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 67 - Equities to Modify Certain Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due:  October 7, 2016
Additional Materials: Exhibit 5
See also: Exemptive Letter
Comments received are available for this proposal.

SR-NYSEMKT-2016-83
34-78803 Sep. 9, 2016 Notice of Filing of Proposed Rule Change Amending Rule 67 - Equities Relating to the Tick Size Pilot Program
Comments due:  September 29, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEMKT-2016-82
34-78751 Sep. 1, 2016 Notice of Filing and Immediate Effectiveness of Proposed Change Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule to Amend the Date That Two Wireless Connections to Third Party Data Feeds Are Expected to Be Available
Comments due:  September 29, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-81
34-78692 Aug. 26, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 – Equities to Eliminate Orders with a Sell “Plus ” and Buy “Minus ” Instruction and Retain Orders with a “Buy Minus Zero Plus ” Instruction, and Make Conforming Changes to Rules 104 – Equities, 07B – Equities, 123C – Equities and 1004 – Equities
Comments due:  September 21, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-80
34-78663 Aug. 24, 2016 Notice of Filing of Proposed Rule Change Amending and Restating the Second Amended and Restated Certificate of Incorporation of the Exchange's Ultimate Parent Company, Intercontinental Exchange, Inc.
Comments due:  September 20, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEMKT-2016-79
34-78673 Aug. 25, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules Relating to Pre-Opening Indications and Opening Procedures
Comments due:  September 21, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-77
34-78685 Aug. 25, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 900.2NY(18A)
Comments due:  September 21, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-76
34-78602 Aug. 17, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program
Comments due: September 13, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-75
34-78721 Aug. 30, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 9217 to Add a Provision and Related Fines Addressing Trade-Through Violations
Comments due:  September 27, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-74
34-78548 Aug. 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Change to Modify the NYSE Amex Options Fee Schedule
Comments due: September 7, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-73
34-78888 Sep. 20, 2016 Order Approving Proposed Rule Changes to Provide for the Rejection of Certain Electronic Complex Orders
Additional File No.: SR-NYSEArca-2016-109
34-78544 Aug. 11, 2016 Notice of Filing of Proposed Rule Change Amending Rule 980NY(d) to Provide for the Rejection of Certain Electronic Complex Orders
Comments due: September 7, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-72
34-78500 Aug. 8, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NYSE MKT Rule 19 – Equities to Specify in Exchange Rules the Exchange's Use of Data Feeds from Investors' Exchange, LLC for Order Handling and Execution, Order Routing, and Regulatory Compliance
Comments due: September 2, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-70
34-78376 Jul. 21, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule
Comments due: August 17, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-69
34-78324 Jul. 14, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Applicable to the Customer Best Execution Auction Per Rule 971.1NY
Comments due: August 10, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-68
34-78917 Sep. 23, 2016 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 and Partial Amendment No. 2, Amending Exchange Rule 49 Regarding the Exchange's: (1) Emergency Powers; (2) Disaster Recovery Plans; and (3) Backup Systems and Mandatory Testing
34-78483 Aug. 5, 2016 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Amending NYSE Rule 49 — Equities Regarding: (1) the Exchange's Emergency Powers; (2) the Exchange's Disaster Recovery Plans; and (3) Exchange Backup Systems and Mandatory Testing
Comments due: September 1, 2016
Additional Materials: Exhibit 4, Exhibit 5
Comments received are available for this proposal.

SR-NYSEMKT-2016-67
34-78297 Jul. 12, 2016 Notice of Filing and Immediate Effectiveness of Proposed Change to Modify the NYSE Amex Options Fee Schedule effective July 1, 2016
Comments due:  August 8, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-66
34-78266 Jul. 8, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 975NY Regarding Transactions that Qualify as a Catastrophic Error as it Relates to Binary Return Derivatives Contracts
Comments due: August 4, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-65
34-78241 Jul. 7, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .07 to Rule 904 to Extend the Pilot Program that Eliminated the Position Limits for Options on SPDR S&P 500 ETF
Comments due: August 3, 2016
Rebuttal comments due: August 17, 2016
Additional Materials: Exhibit 3, Exhibit 5

SR-NYSEMKT-2016-64
34-78155 Jun. 24, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change for A Temporary Suspension of Those Aspects of Rules 36.20 - Equities and 36.21 - Equities that Would Not Permit Floor Brokers to Use Personal Portable Phone Devices on the Trading Floor Due to the Unavailability of Floor Broker Telephone Services
Comments due:  July 21, 2016

SR-NYSEMKT-2016-63
34-78629 Aug. 22, 2016 Notice of Filing of Proposed Change Amending the Co-location Services Offered by the Exchange to Add Certain Access and Connectivity Fees
Comments due: September 16, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-62
34-78586 Aug. 16, 2016 Notice of Filing of Proposed Rule Change Amending Section 146 of the NYSE MKT Company Guide to Adjust the Entitlement to Services of Special Purpose Acquisition Companies
Comments due: September 12, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-61
34-78176 Jun. 28, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to NYSE Amex Options Rule 960NY in Order to Extend the Penny Pilot through December 31, 2016
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-60
34-78117 Jun. 21, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Amex Options Fee Schedule
Comments due:  July 18, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-59
34-78106 Jun. 20, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting New NYSE MKT Rules 2090 – Equities (Know Your Customer) and 2111 – Equities (Suitability) that are Substantially Similar to FINRA Rules 2090 (Know Your Customer) and 2111(Suitability), Deleting Current NYSE MKT Rule 405 – Equities (Diligence as to Accounts), and Making Other Conforming Changes
Comments due:  July 15, 2016

SR-NYSEMKT-2016-58
34-78804 Sep. 9, 2016 Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to NYSE MKT Rules 1600 et seq. and the Listing Rules Applicable to the Shares of the Nuveen Diversified Commodity Fund and the Nuveen Long/Short Commodity Total Return Fund
Comments due:  October 6, 2016
Rebuttal comments due:  October 20, 2016
34-78432 Jul. 28, 2016 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Amendments to NYSE MKT Rules 600 et seq. and the Listing Rules Applicable to the Shares of the Nuveen Diversified Commodity Fund and the Nuveen Long/Short Commodity Total Return Fund
34-78000 Jun. 7, 2016 Notice of Filing of Proposed Rule Change Relating to Amendments to NYSE MKT Rules 1600 et seq. and to Changes to the Names and Operation of the Nuveen Diversified Commodity Fund and the Nuveen Long/Short Commodity Total Return Fund
Comments due: July 5, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEMKT-2016-57
34-77973 Jun. 2, 2016 Notice of Filing and Immediate Effectiveness of Proposed Change Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule to Eliminate Certain Services that are No Longer Utilized by Users and to Remove Obsolete Text
Comments due: June 29, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-56
34-77949 May 31, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing the Quoting and Trading Provisions of the Plan to Implement a Tick Size Pilot Program Submitted to the Commission Pursuant to Rule 608 of Regulation NMS under the Act
Comments due: June 27, 2016
Additional Materials: Exhibit 5
See Also: Exemptive Letter

SR-NYSEMKT-2016-55
34-77902 May 25, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 930NY Regarding Definition of Floor Broker
Comments due: June 22, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-54
34-77859 May 19, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 - Equities and Related Rules Regarding Market Orders
Comments due:  June 15, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-53
34-77836 May 16, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Definition of Professional Customer in Rule 900.2NY(18A)
Comments due: June 10, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-52
34-78598 Aug. 17, 2016 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Rules 340, 341, and 359 to Extend the Time Within Which a Member, Member Organization, or an ATP Holder Must File a Uniform Termination Notice for Securities Industry Registration ("U5")
34-78198 Jun. 30, 2016 Notice of Filing of Proposed Rule Change Amending Rules 340, 341, and 359 to Extend the Time Within Which a Member or Member Organization or an ATP Holder Must File a Uniform Termination Notice for Securities Industry Registration
Comments due: July 28, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEMKT-2016-51
34-77808 May 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 98 - Equities
Comments due: June 7, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-50
34-77814 May 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Change Modifying the NYSE Amex Options Fee Schedule
Comments due: June 7, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-49
34-78367 Jul. 20, 2016 Notice of Withdrawal of Proposed Rule Change Amending the Definition of "Block" for Purposes of Rule 72(d) - Equities and the Size of a Proposed Cross Transaction Eligible for the Cross Function in Rule 76 - Equities
34-77951 May 31, 2016 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Amending the Definition of “Block” for Purposes of Rule 72(d) - Equities and the Size of a Proposed Cross Transaction Eligible for the Cross Function in Rule 76 - Equities
34-77734 Apr. 27, 2016 Notice of Filing of Proposed Rule Change Amending the Definition of "Block" for Purposes of Rule 72(d) – Equities and the Size of a Proposed Cross Transaction Eligible for the Cross Function in Rule 76 - Equities
Comments due: May 24, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-48
34-78744 Aug. 31, 2016 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Certain Rules Relating to Flexible Exchange Options
34-78348 Jul. 15, 2016 Notice of Filing of Proposed Rule Change to Amend Certain Rules Related to Flexible Exchange Options
Comments due: August 11, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEMKT-2016-47
34-77749 Apr. 29, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 967.1NY Regarding Price Protection for Market Maker Quotes
Comments due: May 26, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-45
34-78029 Jun. 9, 2016 Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Modify the NYSE Amex Options Fee Schedule with Respect to Fees, Rebates, and Credits for Transactions in the Customer Best Execution Auction
Comments due: July 6, 2016
Rebuttal comments due: July 20, 2016
Comments received are available for this proposal.
34-77658 Apr. 20, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Amex Options Fee Schedule
Comments due:  May 17, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-43
34-77605 Apr. 13, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 72 - Equities Relating to Setting Interest
Comments due:  May 10, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-42
34-78283 Jul. 11, 2016 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule 952NY with Respect to Opening Trading in an Options Series
Comments due:  August 5, 2016
34-77911 May 25, 2016 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend Rule 952NY with Respect to Opening Trading in an Options Series
34-77540 Apr. 6, 2016 Notice of Filing of Proposed Rule Change to Amend Rule 952NY with Respect to Opening Trading in an Options Series
Comments due:  May 3, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEMKT-2016-41
34-77435 Mar. 23, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 964.2NY Regarding the Participation Entitlement Formula for Specialists and e-Specialists
Comments due: April 19, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-40
34-77478 Mar. 30, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting Requirements for the Collection and Transmission of Data Pursuant to Appendices B and C of the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: April 26, 2016
Additional Materials: Exhibit 5
See Also: Exemptive Letter

SR-NYSEMKT-2016-39
34-77424 Mar. 23, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program
Comments due: April 19, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEMKT-2016-38
34-77433 Mar. 23, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 – Equities to Expand the Availability of Self-Trade Prevention Modifiers to Non-Algorithmically Entered Floor Broker Interest
Comments due: April 19, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-37
34-77389 Mar. 17, 2016 Notice of Filing and Immediate Effectiveness of Proposed Change Adopting a Decommission Extension Fee for receipt of the NYSE MKT BBO and NYSE MKT Trades Market Data Products
Comments due:  April 12, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-36
34-77356 Mar. 14, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Deadline for Implementing Rule 967.1NY(a)(2) and (3)
Comments due: April 8, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-35
34-77370 Mar. 15, 2016 Notice of Filing and Immediate Effectiveness of Proposed Change Modifying the NYSE Amex Options Fee Schedule
Comments due: April 11, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-34
34-77293 Mar. 4, 2016 Notice of Filing and Immediate Effectiveness of Proposed Change to Modify the NYSE Amex Options Fee Schedule Relating to ByRDs Transaction Fees
Comments due: March 31, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-33
34-77371 Mar. 15, 2016 Notice of Filing and Immediate Effectiveness of Proposed Change to Amend its Price List Effective March 1, 2016
Comments due: April 11, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-32
34-77279 Mar. 3, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Change Amending the Fees for NYSE MKT Proprietary Market Data as They Apply to Federal Agency Customers
Comments due: March 29, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-31
34-78015 Jun. 8, 2016 Notice of Filings of Amendment No. 1, and Order Granting Accelerated Approval of Proposed Rule Changes, as Modified by Amendment No. 1, to Provide for How the Exchanges Would Determine an Official Closing Price if the Exchanges are Unable to Conduct a Closing Transaction
Comments due: July 5, 2016
Additional File No.: SR-NYSE-2016-18
34-77676 Apr. 21, 2016 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Amending Rule 123C-Equities to Provide for How the Exchange Would Determine an Official Closing Price if the Exchange is Unable to Conduct a Closing Transaction
34-77306 Mar. 7, 2016 Notice of Filing of Proposed Rule Change Amending Rule 123C-Equities to Provide for How the Exchange Would Determine an Official Closing Price if the Exchange is Unable to Conduct a Closing Transaction
Comments due: April 1, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-30
34-77241 Feb. 26, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting Investigation, Disciplinary, Sanction, and Other Procedural Rules Modeled on the Rules of the New York Stock Exchange LLC and Certain Conforming and Technical Changes
Comments due: March 24, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-29
34-77348 Mar. 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 401 and 402 of the NYSE MKT Company Guide to Harmonize the Exchange’s Immediate Release and Trading Halt Policies
Comments due: April 7, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-28
34-77275 Mar. 2, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Change Amending the Fees for NYSE Amex Options Proprietary Market Data as They Apply to Federal Agency Customers
Comments due: March 29, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-27
34-77210 Feb. 23, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 1206 and 1212T of the NYSE MKT Company Guide
Comments due: March 21, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-26
34-77901 May 25, 2016 Order Approving a Proposed Rule Change, as Modified by Amendment No.1 Thereto, to Amend the Eighth Amended and Restated Operating Agreement of the Exchange
34-77536 Apr. 6, 2016 Notice of Filing of Proposed Rule Change Amending the Eighth Amended and Restated Operating Agreement of the Exchange
Comments due:  May 3, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEMKT-2016-23
34-77110 Feb. 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Amex Options Deep Market Data Product
Comments due:  March 10, 2016

SR-NYSEMKT-2016-22
34-77174 Feb. 18, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 341A(a)(4) to Provide for Web-Based Delivery of the Exchange’s Continuing Education Program
Comments due:  March 16, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-21
34-77168 Feb. 18, 2016 Notice of Filing and Immediate Effectiveness of Proposed Change Amending the NYSE Amex Options Fee Schedule
Comments due:  March 15, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-20
34-77782 May 6, 2016 Order Approving Proposed Rule Change Amending and Restating the Fifth Amended and Restated Bylaws of the Exchanges’ Ultimate Parent Company, Intercontinental Exchange, Inc., to Implement Proxy Access
Additional File Nos.: SR-NYSE-2016-14, SR-NYSEArca-2016-25
34-77386 Mar. 17, 2016 Notice of Filing of Proposed Rule Change Amending and Restating the Fifth Amended and Restated Bylaws of the Exchange’s Ultimate Parent Company, Intercontinental Exchange, Inc., to Implement Proxy Access
Comments due:  April 12, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-19
34-77085 Feb. 9, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 990NY(8) to Correct a Typographical Error
Comments due: March 8, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-18
34-77106 Feb. 10, 2016 Notice of Filing and Immediate Effectiveness of Proposed Change Modifying the NYSE Amex Options Fee Schedule
Comments due:  March 9, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-17
34-77680 Apr. 21, 2016 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Establish Procedures for the Allocation of Cages to Co-located Users, Including the Waiver of Certain Fees, and to Amend the Visitor Security Escort Fee
34-77304 Mar. 7, 2016 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Establishing Procedures for the Allocation of Cages to Its Co-located Users, Including the Waiver of Certain Fees, and to Amend the Visitor Security Escort Requirements and Fee
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEMKT-2016-16
34-77014 Feb. 2, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Certain of Its Rules Related to Binary Return Derivatives Contracts
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-15
34-78951 Sep. 27, 2016 Notice of Withdrawal of a Proposed Change, as Modified by Amendment Nos. 1 and 2, Establishing Fees Relating to End Users and Amending the Definition of "Affiliate," as well as Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule to Reflect the Changes
34-78389 Jul. 21, 2016 Notice of Filing of Amendment No. 2 to a Proposed Rule Change and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Change, as Modified by Amendment Nos. 1 and 2, Establishing Fees Relating to End Users and Amending the Definition of "Affiliate," as well as Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule to Reflect the Changes
Comments due: August 17, 2016
Rebuttal comments due: August 31, 2016
34-77978 Jun. 2, 2016 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, to Establish Certain End User Fees, Amend the Definition of Affiliate, and Amend the Co-location Section of the Fee Schedule to Reflect the Changes
34-77640 Apr. 18, 2016 Notice of Filing of Proposed Rule Change Establishing Fees Relating to End Users and Amending the Definition of "Affiliate," as well as Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule to Reflect the Changes
Comments due:  May 13, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEMKT-2016-14
34-77074 Feb. 5, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Supplementary Material .10 to Rule 103B – Equities to Provide that Any Senior Official of a Listed Company with the Rank of Corporate Secretary or Higher can Sign the Written Request of a Listed Company Seeking to Change Its Designated Market Maker Unit
Comments due: March 3, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-13
34-78742 Aug. 31, 2016 Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule 955NY(c) by Revising the Clearing Member Requirements for Entering an Order into the Electronic Order Capture System
34-78238 Jul. 7, 2016 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule 955NY(c) by Revising the Clearing Member Requirement for Entering an Order into the Electronic Order Capture System
Comments due: August 3, 2016
Rebuttal comments due: August 17, 2016
34-77910 May 25, 2016 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule 955NY(c) by Revising the Clearing Member Requirements for Entering an Order into the Electronic Order Capture System
34-77518 Apr. 5, 2016 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule 955NY(c) by Revising the Clearing Member Requirements for Entering an Order into the Electronic Order Capture System ("EOC")
Comments due:  May 2, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NYSEMKT-2016-12
34-77401 Mar. 17, 2016 Order Approving Proposed Rule Change Amending the NYSE MKT Company Guide to Create a New Section 146 Under Which a Certain Category of Newly Listed Issuers Would Be Entitled to Receive Complimentary Products and Services from the Exchange
34-76996 Jan. 28, 2016 Notice of Filing of Proposed Rule Change Amending the NYSE MKT Company Guide to Create a New Section 146 Under Which a Certain Category of Newly Listed Issuers Would Be Entitled to Receive Complimentary Products and Services from the Exchange
Comments due: February 24, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-11
34-76975 Jan. 26, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Fees for NYSE MKT Integrated Feed
Comments due: February 22, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-10
34-76992 Jan. 28, 2016 Notice of Filing and Immediate Effectiveness of Proposed Change Modifying the NYSE Amex Options Fee Schedule to Add an Early Adopter Specialist Credit
Comments due: February 24, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-09
34-76935 Jan. 20, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Amex Options Fee Schedule
Comments due: February 16, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-07
34-76907 Jan. 14, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 132.30(9) – Equities to Conform the Exchange’s Rules to Industry-Wide Standards for Recording the Capacity in Which a Member Organization Executes a Transaction
Comments due: February 11, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-05
34-76911 Jan. 14, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE MKT Order Imbalances
Comments due: February 11, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-04
34-76906 Jan. 14, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE MKT BBO and NYSE MKT Trades
Comments due: February 11, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-03
34-76901 Jan. 14, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE MKT OpenBook
Comments due: February 11, 2016
Additional Materials: Exhibit 5

SR-NYSEMKT-2016-02
34-77120 Feb. 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Co-location Services Offered by the Exchange to Include a Means for Co-located Users to Receive the NASDAQ TotalView Ultra Market Data Feed Through a Wireless Connection and Reflect Changes to the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule
Comments due:  March 10, 2016
Additional Materials: Exhibit 5

 

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


Modified: 09/28/2016