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NYSE MKT LLC Rulemaking Archive: 2012

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
Fourth Quarter | Third Quarter |  Second Quarter

NYSE MKT File Number List for 2012

Additional Archives

Chronological List
Release No. Date Details
Fourth Quarter

SR-NYSEMKT-2012-83
34-68527 Dec. 21, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE MKT LLC Price List to Specify Pricing that is Currently Applicable to Certain Executions on the Exchange but that is Not Currently Included in the Price List
Comments due: January 22, 2013
Additional Materials: Exhibit 5

SR-NYSEMKT-2012-58
34-68521 Dec. 21, 2012 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Deleting NYSE MKT Rules 95(c) and (d) - Equities and Related Supplementary Material
See also:  Order: Rel No. 34-69983, Notice: Rel. No. 34-69575, Notice: Rel. No. 34-68923, Notice: Rel. No. 34-68186

SR-NYSEMKT-2012-80
34-68520 Dec. 21, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 953NY - Trading Halts and Suspensions
Comments due: January 22, 2013
Additional Materials: Exhibit 5

SR-NYSEMKT-2012-70
34-68469 Dec. 19, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 140 of the NYSE MKT LLC Company Guide to Introduce an Initial Application Fee
Comments due: January 16, 2013
Additional Materials: Exhibit 5

SR-NYSEMKT-2012-41
34-68460 Dec. 18, 2012 Order Granting Approval of Proposed Rule Change to Amend Commentary .04 to NYSE Amex Options Rule 903 to Permit the Exchange to List Additional Strike Prices Until the Close of Trading on the Second Business Day Prior to Monthly Expiration
See also: Notice: Rel. No. 34-68135, Notice: Rel. No. 34-67862

SR-NYSEMKT-2012-82
34-68451 Dec. 17, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the 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 Following the Aftermath of Hurricane Sandy Until the Earlier of When Phone Service is Fully Restored or Friday, January 18, 2013
Comments due: January 11, 2013

SR-NYSEMKT-2012-78
34-68444 Dec. 14, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 102(a) of the NYSE MKT Company Guide to Eliminate An Erroneous Reference
Comments due: January 10, 2013
Additional Materials: Exhibit 5

SR-NYSEMKT-2012-75
34-68427 Dec. 13, 2012 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 in Options Classes in Certain Issues Through March 31, 2013
Comments due: January 9, 2013
Additional Materials: Exhibit 5

SR-NYSEMKT-2012-79
34-68418 Dec. 12, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding New Rule 956.1NY, Which Will Govern the Submission of Automated Trading Data
Comments due: January 9, 2013
Additional Materials: Exhibit 5

SR-NYSEMKT-2012-74
34-68407 Dec. 11, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Amend the NYSE Amex Options Fee Schedule for Professional Customers and Broker-Dealers to Modify Existing Volume-Based Tiers and the Associated Rate per Contract for Certain Electronic Executions
Comments due: January 7, 2013
Additional Materials: Exhibit 5

SR-NYSEMKT-2012-72
34-68383 Dec. 7, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 952NY with Respect to Opening Trading in an Options Series
Comments due: January 3, 2013
Additional Materials: Exhibit 5

SR-NYSEMKT-2012-77
34-68381 Dec. 7, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Modify the NYSE Amex Options Fee Schedule Regarding the Manner in which Funds from Marketing Charges Are Controlled
Comments due: January 3, 2013
Additional Materials: Exhibit 5

SR-NYSEMKT-2012-76
34-68380 Dec. 7, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 903 to Provide that the Exchange May Not List Short Term Option Series Expirations that Coincide with the Expiration of Quarterly Option Series on the Same Class
Comments due: January 3, 2013

SR-NYSEMKT-2012-71
34-68358 Dec. 5, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .07 to Exchange Rule 904 to Increase the Position and Exercise Limits for Options on the iShares MSCI Emerging Markets Index Fund to 500,000 Contracts
Comments due: January 2, 2013
Additional Materials: Exhibit 5

SR-NYSEMKT-2012-73
34-68354 Dec. 4, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 472 - Equities, Which Addresses Communications with the Public, Adopting New Rule Text to Conform to the Changes adopted by the Financial Industry Regulatory Authority, Inc. for Research Analysts and Research Reports as Required by the Jumpstart Our Business Startups Act
Comments due: January 2, 2013

SR-NYSEMKT-2012-65
34-68340 Dec. 3, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 123C(9)(a)(1)(ii) - Equities to Delete the Requirement that the Order Acceptance Cut-Off Time Cannot be past 4:30 p.m.
Comments due: December 28, 2012
Additional Materials: Exhibit 5

SR-NYSEMKT-2012-48
34-68313 Nov. 28, 2012 Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes Relating to Adoption of Listing Standards for Compensation Committees and Advisors as Required by Rule 10C-1
Additional File Nos.: SR-BATS-2012-039, SR-BX-2012-063, SR-CBOE-2012-094, SR-NASDAQ-2012-109, SR-NYSE-2012-49, SR-NYSEArca-2012-105
See also: Notice: Rel. No. 34-68637, Notice: Rel. No. 34-68007

SR-NYSEMKT-2012-68
34-68306 Nov. 28, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Rules to Delete Obsolete and Out-Dated Rules.
Comments due: December 26, 2012
Additional Materials: Exhibit 5

SR-NYSEMKT-2012-67
34-68305 Nov. 28, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Moving the Rule Text that Provides for Pegging on the Exchange from Supplementary Material .26 of Rule 70 -Equities to Rule 13- Equities and Amending Such Text to (i) Permit Designated Market Maker Interest To Be Set as Pegging Interest; (ii) Change References from National Best Bid, National Best Offer and National Best Bid or Offer to Best Protected Bid, Best Protected Offer and Best Protected Bid or Offer, Respectively; (iii) Permit Pegging Interest to Peg to the Opposite Side of the Market; and (iv) Provide for An Offset Value to be Specified for Pegging Interest
Comments due: December 26, 2012
Additional Materials: Exhibit 5

SR-NYSEMKT-2012-69
34-68272 Nov. 20, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the 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 following the Aftermath of Hurricane Sandy Until the Earlier of When Phone Service is Fully Restored or Friday, December 14, 2012
Comments due: December 18, 2012

SR-NYSEMKT-2012-64
34-68261 Nov. 19, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Change the Monthly Fees for the Use of Ports
Comments due: December 17, 2012
Additional Materials: Exhibit 5

SR-NYSEMKT-2012-63
34-68244 Nov. 15, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 123C - Equities To Add New Supplementary Material .40 To Clarify That All Times Specified in Rule 123C - Equities are Adjusted When the Scheduled Close of Trading is Before 4:00 p.m.
Comments due: December 14, 2012
Additional Materials: Exhibit 5

SR-NYSEMKT-2012-60
34-68231 Nov. 14, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Amex Options Fee Schedule to Introduce Fees for the Use of Ports
Comments due: December 11, 2012
Additional Materials: Exhibit 5

SR-NYSEMKT-2012-66
34-68212 Nov. 9, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the 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 following the Aftermath of Hurricane Sandy Until the Earlier of When Phone Service is Fully Restored or Friday, November 16, 2012
Comments due: December 10, 2012

SR-NYSEMKT-2012-53
34-68193 Nov. 8, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary to Exchange Rule 903 Regarding Strike Price Intervals for Classes in the Short Term Option Series Program
Comments due: December 6, 2012

SR-NYSEMKT-2012-42
34-68191 Nov. 8, 2012 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No.1, Amending Rule 903(h) and Related Commentary .10 to Expand the Number of Expirations Available Under the Short Term Option Series Program ("STOS Program"), to Allow for the Exchange to Delist Series in the STOS Program That Do Not Have Open Interest, and To Expand the Number of Series in the STOS Program Under Limited Circumstances
See also: Notice: Rel. No. 34-67897

SR-NYSEMKT-2012-58
34-68186 Nov. 8, 2012 Notice of Filing of Proposed Rule Change Deleting NYSE MKT Rules 95(c) and (d) – Equities and Related Supplementary
Comments due: December 6, 2012
Additional Materials: Exhibit 5
See also: Order: Rel No. 34-69983, Notice: Rel. No. 34-69575, Order: Rel. No. 34-68923, Notice: Rel. No. 34-68521

SR-NYSEMKT-2012-54
34-68183 Nov. 8, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase the Options Regulatory Fee and to Revise the Circumstances Under Which NYSE Amex Options LLC Will Collect the Options Regulatory Fee
Comments due: December 6, 2012
Comments received are available for this proposal.

SR-NYSEMKT-2012-62
34-68162 Nov. 5, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Temporary Suspension of Those Aspects of Rules 36.20 - Equities, 36.21 - Equities, and 36.30 - Equities That Would Not Permit Designated Market Makers and Floor Brokers to Use Personal Portable Phone Devices on the Trading Floor Following the Aftermath of Hurricane Sandy From November 5, 2012 Until the Earlier of When Phone Service is Fully Restored or Friday, November 9, 2012
Comments due: December 4, 2012

SR-NYSEMKT-2012-57
34-68156 Nov. 5, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the NYSE Amex Options Fee Schedule to Remove Dividend Spreads from the List of Strategy Executions for which Fee Caps Apply
Comments due: November 30, 2012
Additional Materials: Exhibit 5

SR-NYSEMKT-2012-56
34-68139 Nov. 1, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Amex Options LLC Fee Schedule to Amend the Fees for Specialists and eSpecialists Relating to Qualified Contingent Cross Orders
Comments due:  November 28, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-59
34-68138 Nov. 1, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Temporarily Suspend Those Aspects of Rules 36.20 - Equities, 36.21 - Equities, and 36.30 - Equities That Would Not Permit Designated Market Makers and Floor Brokers to Use Personal Portable Phone Devices on the Trading Floor Following the Aftermath of Hurricane Sandy From October 31, 2012 Until the Earlier of When Phone Service is Fully Restored or Friday, November 2, 2012
Comments due:  November 28, 2012

SR-NYSEMKT-2012-41
34-68135 Nov. 1, 2012 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend Commentary .04 to NYSE Amex Options Rule 903 to Permit the Exchange to List Additional Strike Prices Until the Close Of Trading on the Second Business Day Prior to Monthly Expiration in Unusual Market Conditions
See also:  Order: Rel. No. 34-68460, Notice: Rel. No. 34-67862

SR-NYSEMKT-2012-55
34-68128 Nov. 1, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 968NY to Allow for the Split-Price Priority Provisions to Apply to Open Outcry Trading of Cabinet Trades
Comments due:  November 28, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-51
34-68117 Oct. 26, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 140 and 141 of the NYSE MKT LLC Company Guide to Amend Annual Fees and Certain Other Listing Fees Included Therein and to Make Technical and Conforming Changes
Comments due:  November 23, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-52
34-68066 Oct. 18, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 17 - Equities to Add a New Paragraph (c)(3) Addressing the Authority of the Exchange or Archipelago Securities LLC to Cancel Orders When a Technical or Systems Issue Occurs and to Describe the Operation of An Error Account for Arca Securities
Comments due:  November 14, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-050
34-68036 Oct. 11, 2012 Notice of Filing of a Proposed Rule Change Relating to Criteria for Rebates to Order Flow Providers
Comments due:  November 7, 2012
* Submit comments on SR-NYSEMKT-2012-050

SR-NYSEMKT-2012-48
34-68007 Oct. 9, 2012 Notice of Filing of Proposed Rule Change, as Modified by Amendment No.1, Amending Sections 110, 801, 803 and 805 of the Exchange's Company Guide to Comply with the Requirements of Securities and Exchange Commission Rule 10C-1
Comments due:  November 5, 2012
Additional Materials:   Exhibit 5
See also:  Notice: Rel. No. 34-68637, Notice: Rel. No. 34-68313
Comments received are available for this notice.
* Submit comments on SR-NYSEMKT-2012-48

SR-NYSEMKT-2012-49
34-68004 Oct. 9, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Fees for Certain Proprietary Options Market Data Products
Comments due:  November 5, 2012
Additional Materials:   Exhibit 5
Third Quarter

SR-NYSEMKT-2012-45
34-67907 Sep. 21, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 1203(a) and 1205(b) of the NYSE MKT Company Guide ("Company Guide") to Increase the Fees Applicable to Issuers Requesting Review of a Determination to Limit or Prohibit the Continued Listing of Their Securities on the Exchange
Comments due:  October 18, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-23
34-67902 Sep. 21, 2012 Order Granting Approval of a Proposed Rule Change Amending the Members' Schedule of NYSE Amex Options LLC in Order to Reflect Changes to the Capital Structure of the Company
See also:  Notice: Rel. No. 34-67569

SR-NYSEMKT-2012-42
34-67897 Sep. 20, 2012 Notice of Filing of Proposed Rule Change and Amendment No. 1, Amending Rule 903(h) and Related Commentary .10 to Expand the Number of Expirations Available under the Short Term Option Series Program ("STOS Program"), to Allow for the Exchange to Delist any Series in the STOS that Do Not have Open Interest and to Expand the Number of Series in STOS under Limited Circumstances
Comments due:  October 17, 2012
Additional Materials:   Exhibit 5
See also:  Order: Rel. No. 34-68191

SR-NYSEMKT-2012-47
34-67895 Sep. 20, 2012 Notice of Filing of Proposed Rule Change to Amend the NYSE Amex Options LLC Members Agreement to Empower the Volume Dispute Committee to Establish Principles for Determining Whether the Exchange Has Experienced a Bona Fide Systems Problem and to Adjust Certain Volume Measurements Accordingly
Comments due:  October 17, 2012
Additional Materials:   Exhibit 5
* Submit comments on SR-NYSEMKT-2012-47

SR-NYSEMKT-2012-41
34-67862 Sep. 14, 2012 Notice of Filing of Proposed Rule Change Amending Commentary .04 to NYSE Amex Options Rule 903 to Permit the Exchange to List Additional Strike Prices Until the Close Of Trading on the Second Business Day Prior to Monthly Expiration
Comments due:  October 11, 2012
See also:  Order: Rel. No. 34-68460, Notice: Rel. No. 34-68135

SR-NYSEMKT-2012-46
34-67838 Sep. 12, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 993NY by Adding a New Paragraph (c) that Addresses the Authority of the Exchange or Archipelago Securities LLC ("Arca Securities") To Cancel Orders When a Technical or Systems Issue Occurs and To Describe the Operation of an Error Account for Arca Securities
Comments due:  October 9, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-26
34-67811 Sep. 10, 2012 Order Approving Proposed Rule Change Amending Rule 76 - Equities to Add Supplementary Material Relating to a Cross Function That Provides a Regulation NMS Rule 611-Compliant Tool for Floor Brokers
See also:  Notice: Rel. No. 34-67489

SR-NYSEMKT-2012-44
34-67764 Aug. 31, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule to Change the Number of Amex Trading Permits Required by NYSE Amex Market Makers Based on the Number of Options in Their Appointment
Comments due:  September 28, 2012

SR-NYSEMKT-2012-37
34-67740 Aug. 28, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rules 103B(IX) - Equities and 504 - Equities to Provide that a Designated Market Maker Unit May Trade at the Same Panel Securities Traded on the Exchange and/or Securities Listed on the New York Stock Exchange LLC
Comments due:  September 25,2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-40
34-67719 Aug. 23, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Offer Certain Proprietary Options Data Products
Comments due:  September 20,2012

SR-NYSEMKT-2012-39
34-67713 Aug. 22, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 928NY to Expand the Existing Market Maker Risk Limitation Mechanism Making It Available for Orders from Market Makers as Well as Non-Market Maker ATP Holders, and to Provide for Two Additional Risk Limitation Mechanisms
Comments due:  September 18, 2012

SR-NYSEMKT-2012-43
34-67702 Aug. 21, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options LLC Limited Liability Company Agreement to Eliminate Certain Restrictions Relating to the Qualification of Founding Firm Advisory Committee Members
Comments due:  September 17, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-38
34-67695 Aug. 20, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Making Certain Conforming Changes to Its Rules Following the Change in the Exchange’s Name from NYSE Amex LLC ("NYSE Amex") to NYSE MKT LLC
Comments due:  September 14, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-13
34-67686 Aug. 17, 2012 Order Granting Approval to Proposed Rule Changes, as Modified by Amendment No. 1, (1) Amending NYSE Rule 13 and NYSE MKT Rule 13 - Equities to Establish New Order Types, (2) Amending NYSE Rule 115A and NYSE MKT Rule 115A-Equities to Delete Obsolete Text and to Clarify and Update the Description of The Allocation of Market and Limit Interest in Opening and Reopening Transactions, (3) Amending NYSE Rule 123C and NYSE MKT Rule 123C - Equities to Include Better-Priced G Orders in The Allocation of Orders in Closing Transactions, and (4) Making Other Technical and Conforming Changes (Corrected to conform to Federal Register version)
Additional File Nos.:  SR-NYSE-2012-19
See also:  Notice: Rel. No. 34-67318

SR-NYSEMKT-2012-14
34-67684 Aug. 17, 2012 Order Granting Approval of Proposed Rule Change Adopting Rules Governing the Listing and Trading of New Products Known as DIVS, OWLS, and RISKS
See also:  Notice: Rel. No. 34-67315

SR-NYSEMKT-2012-11
34-67665 Aug. 15, 2012 Order Approving a Proposed Rule Change Amending the NYSE Amex Options Fee Schedule to Provide for Additional Co-location Services and Establish Related Fees
See also:  Notice: Rel. No. 34-67260

SR-NYSEMKT-2012-10
34-67664 Aug. 15, 2012 Order Approving a Proposed Rule Change Amending the NYSE MKT Price List to Provide for Additional Co-location Services and Establish Related Fees
See also:  Notice: Rel. No. 34-67261

SR-NYSEMKT-2012-34
34-67635 Aug. 9, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the NYSE Amex Options Fee Schedule Regarding a Rebate for Order Flow Providers, an Increase in the Service Fee Applicable to Market Makers, and a Fee for Market Maker Executions of SPY Options
Comments due:  September 5, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-33
34-67634 Aug. 9, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Changes to the NYSE Amex Options Fee Schedule Relating to the Monthly Cost for an Amex Trading Permit and Monthly Fees Relating to Trading in Premium Products
Comments due:  September 5, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-35
34-67609 Aug. 7, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Amendments to the NYSE MKT LLC Price List to Establish Pricing for the Retail Liquidity Program
Comments due:  September 4, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-23
34-67569 Aug. 1, 2012 Notice of Filing of Proposed Rule Change Amending the Members' Schedule of NYSE Amex Options LLC in Order to Reflect Changes to the Capital Structure of the Company
Comments due:  August 28, 2012
Additional Materials:   Exhibit 5
See also:  Order: Rel. No. 34-67902

SR-NYSEMKT-2012-27
34-67568 Aug. 1, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 80C - Equities, Which Provides for Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, to Extend the Effective Date of the Pilot, Until February 4, 2013
Comments due:  August 28, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-28
34-67567 Aug. 1, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 128 - Equities, Which Governs Clearly Erroneous Executions, to Extend the Effective Date of the Pilot by Which Portions of Such Rule Operate Until February 4, 2013
Comments due:  August 28, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-07
34-67564 Aug. 1, 2012 Order Granting Approval of Proposed Rule Changes Amending Independence Policy of the Board of Directors of NYSE Euronext and Creating a New Independence Policy for Boards of Directors of the New York Stock Exchange LLC, NYSE MKT LLC, NYSE Regulation, Inc. and NYSE Market, Inc.
Additional File Nos.:  SR-NYSE-2012-17, and SR-NYSEArca-2012-59
See also:  Notice: Rel. No. 34-67184

SR-NYSEMKT-2012-29
34-67525 Jul. 27, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE MKT Equities Price List to Change Certain Fees Relating to Trading Pursuant to Unlisted Trading Privileges of Securities Listed on the Nasdaq Stock Market LLC and Other Conforming Changes
Comments due:  August 23, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-24
34-67505 Jul. 26, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting Existing Rule Text Found in Rule 923NY(d)(1) to (4) Concerning the Number of ATP's Required by an NYSE Amex Options Market Maker to Quote on the Exchange and Move It to the Fee Schedule
Comments due:  August 21, 2012

SR-NYSEMKT-2012-25
34-67497 Jul. 25, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 500 - Equities to Extend the Operation of the Pilot Program that Allows Nasdaq Stock Market Securities to be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges Until the Earlier of Securities and Exchange Commission Approval to Make Such Pilot Permanent or January 31, 2013
Comments due:  August 21, 2012

SR-NYSEMKT-2012-22
34-67496 Jul. 25, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot, Until the Earlier of the Securities and Exchange Commission's Approval to Make Such Pilot Permanent or January 31, 2013
Comments due:  August 21, 2012

SR-NYSEMKT-2012-21
34-67495 Jul. 25, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its New Market Model Pilot Until the Earlier of Securities and Exchange Commission Approval to Make Such Pilot Permanent or January 31, 2013
Comments due:  August 21, 2012

SR-NYSEMKT-2012-26
34-67489 Jul. 23, 2012 Notice of Filing of Proposed Rule Change Amending Rule 76 - Equities to Add Supplementary Material Relating to a Cross Function that Provides a Regulation NMS Rule 611-Compliant Tool for Floor Brokers
Comments due:  August 17, 2012
Additional Materials:   Exhibit 5
See also:  Order: Rel. No. 34-67811

SR-NYSEMKT-2012-20
34-67444 Jul. 16, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 134 - Equities to Shorten the Time Frame for Assigning the Contra Party to Unresolved Account Balances in the Exchange's Online Comparison System
Comments due:  August 10, 2012

SR-NYSEMKT-2012-19
34-67438 Jul. 13, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Fee for Television Distribution of the NYSE MKT Trades Data Product
Comments due:  August 9, 2012
Comments received are available for this notice.

SR-NYSEMKT-2012-17
34-67420 Jul. 12, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule for Professional Customers and Broker-Dealers to Increase the Transaction Fee for Electronic Executions and Introduce Volume-Based Tiers for Certain Electronic Executions that Would Be Charged a Lower Per Contract Rate
Comments due:  August 8, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-03
34-67375 Jul. 10, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE MKT LLC Rule 440A – Equities, Which Addresses Telemarketing, and Adopting New NYSE MKT LLC Rule 3230 – Equities, to Conform to FINRA’s Telemarketing Rule
Comments due:  August 6, 2012

SR-NYSEMKT-2012-04
34-67371 Jul. 10, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE MKT LLC Rule 428(a), Which Addresses Telephone Solicitation, and Amending NYSE MKT LLC Rule 429, Which Addresses Telemarketing, to Adopt New Rule Text to Conform to FINRA’s Telemarketing Rule
Comments due:  August 6, 2012

SR-NYSEMKT-2012-15
34-67346 Jul. 3, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Certain Exchange Rules Related to Floor Official Duties and Responsibilities in the Exchange's Marketplace
Comments due:  July 31, 2012
Additional Materials:   Exhibit 5
Second Quarter

SR-NYSEMKT-2012-16
34-67321 Jun. 29, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule to Increase the Monthly Fee Per Amex Trading Permit for Order Flow Providers and Clearing Members and Make a Conforming Change to the Current Text in the Fee Schedule
Comments due:  July 26, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-13
34-67318 Jun. 29, 2012 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, (1) Amending Rule 13 - Equities to Establish New Order Types, (2) Amending Rule 115A - Equities to Delete Obsolete Text and To Clarify and Update the Description of The Allocation of Market and Limit Interest in Opening and Reopening Transactions, (3) Amending Rule 123C - Equities to Include Better-Priced G Orders in The Allocation of Orders in Closing Transactions, and (4) Making Other Technical and Conforming Changes
Comments due:  July 27, 2012
Additional Materials:   Exhibit 5
See also:  Order: Rel. No. 34-67686

SR-NYSEMKT-2012-14
34-67315 Jun. 29, 2012 Notice of Filing of Proposed Rule Change Adopting Rules Governing the Listing and Trading of New Products Known as DIVS, OWLS, and RISKS
Comments due:  July 27, 2012
See also:  Order: Rel. No. 34-67684

SR-NYSEMKT-2012-12
34-67305 Jun. 28, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to Rule 960NY in Order to Extend the Penny Pilot in Options Classes in Certain Issues Through December 31, 2012
Comments due:  July 27, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-11
34-67260 Jun. 26, 2012 Notice of Filing of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule to Provide for Additional Co-location Services and Establish Related Fees
Comments due:  July 23, 2012
Additional Materials:   Exhibit 5
See also:  Order: Rel. No. 34-67665

SR-NYSEMKT-2012-10
34-67261 Jun. 26, 2012 Notice of Filing of Proposed Rule Change Amending the NYSE MKT Price List to Provide for Additional Co-location Services and Establish Related Fees
Comments due:  July 23, 2012
Additional Materials:   Exhibit 5
See also:  Order: Rel. No. 34-67664

SR-NYSEMKT-2012-09
34-67214 Jun. 19, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to amend Rules 921NY, 921.1NY, and 931NY Prescribing the Registered Proprietary Traders Examination (Series 56) As The Qualifying Examination for Registered Market Makers, Market Maker Authorized Traders, and Floor Brokers
Comments due:  July 16, 2012

SR-NYSEMKT-2012-08
34-67194 Jun. 13, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE MKT LLC Amending Commentary .10 to Exchange Rule 903 Allowing the NYSE Amex Options to Open Short Term Option Series That Are Opened by Other Securities Exchanges in Option Classes Selected by Other Exchanges Under Their Respective Short Term Option Rules
Comments due:  July 10, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-07
34-67184 Jun. 12, 2012 Notice of Filing of Proposed Rule Change Amending Independence Policy of the Board of Directors of NYSE Euronext and Creating New Independence Policy for Boards of Directors of the New York Stock Exchange LLC, NYSE MKT LLC, NYSE Regulation, Inc. and NYSE Market, Inc.
Comments due:  July 9, 2012
Additional Materials:   Exhibit 5
See also:  Order: Rel. No. 34-67564

SR-NYSEMKT-2012-05
34-67153 Jun. 7, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Amex Options Fee Schedule to Amend the Rights Fee that is Charged to Specialists, e-Specialists and Directed Order Market Makers
Comments due:  July 5, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-06
34-67129 Jun. 5, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Temporarily suspending the Requirements of Exchange Rule 311 - Equities and Related Exchange Equities Rules Concerning the Approval of New Member Organizations and Exchange Rule 353 and Related Exchange Rules Concerning the Approval of New ATP Holders in Order to Approve Apex Clearing Corporation, f/k/a Ridge Clearing and Outsourcing Solutions, Inc. as an Exchange Equities Member Organization and ATP Holder, Subject to Apex Clearing Complying with Exchange Rules for a New Member Organization and ATP Holder Within 30 Calendar Days of the Date that Apex Clearing is Provisionally Approved as an Exchange Equities Member Organization and ATP Holder
Comments due:  July 2, 2012

NYSEMKT File Number List for 2012
Release No. Date Details

SR-NYSEMKT-2012-89
34-68589 Jan. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule with Respect to Regulatory Fees Related to the Central Registration Depository, Which are Collected by the Financial Industry Regulatory Authority, Inc.
Comments due: February 1, 2013
Additional Materials: Exhibit 5

SR-NYSEMKT-2012-86
34-68561 Jan. 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 500 - Equities to Extend the Operation of the Pilot Program that Allows Nasdaq Stock Market ("Nasdaq") Securities to be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges
Comments due: January 29, 2013
Additional Materials: Exhibit 5

SR-NYSEMKT-2012-85
34-68557 Jan. 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of its Supplemental Liquidity Providers Pilot (Rule 107B - Equities) Until the Earlier of the Securities and Exchange Commission's Approval To Make Such Pilot Permanent or July 31, 2013
Comments due: January 29, 2013
Additional Materials: Exhibit 5

SR-NYSEMKT-2012-84
34-68559 Jan. 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its New Market Model Pilot Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or July 31, 2013
Comments due: January 29, 2013
Additional Materials: Exhibit 5

SR-NYSEMKT-2012-83
34-68527 Dec. 21, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE MKT LLC Price List to Specify Pricing that is Currently Applicable to Certain Executions on the Exchange but that is Not Currently Included in the Price List
Comments due: January 22, 2013
Additional Materials: Exhibit 5

SR-NYSEMKT-2012-82
34-68451 Dec. 17, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the 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 Following the Aftermath of Hurricane Sandy Until the Earlier of When Phone Service is Fully Restored or Friday, January 18, 2013
Comments due: January 11, 2013

SR-NYSEMKT-2012-80
34-68520 Dec. 21, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 953NY - Trading Halts and Suspensions
Comments due: January 22, 2013
Additional Materials: Exhibit 5

SR-NYSEMKT-2012-79
34-68418 Dec. 12, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding New Rule 956.1NY, Which Will Govern the Submission of Automated Trading Data
Comments due: January 9, 2013
Additional Materials: Exhibit 5

SR-NYSEMKT-2012-78
34-68444 Dec. 14, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 102(a) of the NYSE MKT Company Guide to Eliminate An Erroneous Reference
Comments due: January 10, 2013
Additional Materials: Exhibit 5

SR-NYSEMKT-2012-77
34-68381 Dec. 7, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Modify the NYSE Amex Options Fee Schedule Regarding the Manner in which Funds from Marketing Charges Are Controlled
Comments due: January 3, 2013
Additional Materials: Exhibit 5

SR-NYSEMKT-2012-76
34-68380 Dec. 7, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 903 to Provide that the Exchange May Not List Short Term Option Series Expirations that Coincide with the Expiration of Quarterly Option Series on the Same Class
Comments due: January 3, 2013

SR-NYSEMKT-2012-75
34-68427 Dec. 13, 2012 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 in Options Classes in Certain Issues Through March 31, 2013
Comments due: January 9, 2013
Additional Materials: Exhibit 5

SR-NYSEMKT-2012-74
34-68407 Dec. 11, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Amend the NYSE Amex Options Fee Schedule for Professional Customers and Broker-Dealers to Modify Existing Volume-Based Tiers and the Associated Rate per Contract for Certain Electronic Executions
Comments due: January 7, 2013
Additional Materials: Exhibit 5

SR-NYSEMKT-2012-73
34-68354 Dec. 4, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 472 - Equities, Which Addresses Communications with the Public, Adopting New Rule Text to Conform to the Changes adopted by the Financial Industry Regulatory Authority, Inc. for Research Analysts and Research Reports as Required by the Jumpstart Our Business Startups Act
Comments due: January 2, 2013

SR-NYSEMKT-2012-72
34-68383 Dec. 7, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 952NY with Respect to Opening Trading in an Options Series
Comments due: January 3, 2013
Additional Materials: Exhibit 5

SR-NYSEMKT-2012-71
34-68358 Dec. 5, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .07 to Exchange Rule 904 to Increase the Position and Exercise Limits for Options on the iShares MSCI Emerging Markets Index Fund to 500,000 Contracts
Comments due: January 2, 2013
Additional Materials: Exhibit 5

SR-NYSEMKT-2012-70
34-68469 Dec. 19, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 140 of the NYSE MKT LLC Company Guide to Introduce an Initial Application Fee
Comments due: January 16, 2013
Additional Materials: Exhibit 5

SR-NYSEMKT-2012-69
34-68272 Nov. 20, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the 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 following the Aftermath of Hurricane Sandy Until the Earlier of When Phone Service is Fully Restored or Friday, December 14, 2012
Comments due: December 18, 2012

SR-NYSEMKT-2012-68
34-68306 Nov. 28, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Rules to Delete Obsolete and Out-Dated Rules.
Comments due: December 26, 2012
Additional Materials: Exhibit 5

SR-NYSEMKT-2012-67
34-68305 Nov. 28, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Moving the Rule Text that Provides for Pegging on the Exchange from Supplementary Material .26 of Rule 70 -Equities to Rule 13- Equities and Amending Such Text to (i) Permit Designated Market Maker Interest To Be Set as Pegging Interest; (ii) Change References from National Best Bid, National Best Offer and National Best Bid or Offer to Best Protected Bid, Best Protected Offer and Best Protected Bid or Offer, Respectively; (iii) Permit Pegging Interest to Peg to the Opposite Side of the Market; and (iv) Provide for An Offset Value to be Specified for Pegging Interest
Comments due: December 26, 2012
Additional Materials: Exhibit 5

SR-NYSEMKT-2012-66
34-68212 Nov. 9, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the 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 following the Aftermath of Hurricane Sandy Until the Earlier of When Phone Service is Fully Restored or Friday, November 16, 2012
Comments due: December 10, 2012

SR-NYSEMKT-2012-65
34-68340 Dec. 3, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 123C(9)(a)(1)(ii) - Equities to Delete the Requirement that the Order Acceptance Cut-Off Time Cannot be past 4:30 p.m.
Comments due: December 28, 2012
Additional Materials: Exhibit 5

SR-NYSEMKT-2012-64
34-68261 Nov. 19, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Change the Monthly Fees for the Use of Ports
Comments due: December 17, 2012
Additional Materials: Exhibit 5

SR-NYSEMKT-2012-63
34-68244 Nov. 15, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 123C - Equities To Add New Supplementary Material .40 To Clarify That All Times Specified in Rule 123C - Equities are Adjusted When the Scheduled Close of Trading is Before 4:00 p.m.
Comments due: December 14, 2012
Additional Materials: Exhibit 5

SR-NYSEMKT-2012-62
34-68162 Nov. 5, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Temporary Suspension of Those Aspects of Rules 36.20 - Equities, 36.21 - Equities, and 36.30 - Equities That Would Not Permit Designated Market Makers and Floor Brokers to Use Personal Portable Phone Devices on the Trading Floor Following the Aftermath of Hurricane Sandy From November 5, 2012 Until the Earlier of When Phone Service is Fully Restored or Friday, November 9, 2012
Comments due: December 4, 2012

SR-NYSEMKT-2012-60
34-68231 Nov. 14, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Amex Options Fee Schedule to Introduce Fees for the Use of Ports
Comments due: December 11, 2012
Additional Materials: Exhibit 5

SR-NYSEMKT-2012-59
34-68138 Nov. 1, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Temporarily Suspend Those Aspects of Rules 36.20 - Equities, 36.21 - Equities, and 36.30 - Equities That Would Not Permit Designated Market Makers and Floor Brokers to Use Personal Portable Phone Devices on the Trading Floor Following the Aftermath of Hurricane Sandy From October 31, 2012 Until the Earlier of When Phone Service is Fully Restored or Friday, November 2, 2012
Comments due:  November 28, 2012

SR-NYSEMKT-2012-58
34-69983 Jul. 12, 2013 Order Approving Proposed Rule Changes Deleting NYSE Rules 95(c) and (d) and NYSE MKT Rules 95(c) and (d) - Equities and Related Supplementary Material
Additional File No.: SR-NYSE-2012-57
34-69575 May 14, 2013 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Changes Deleting NYSE Rules 95(c) and (d) and NYSE MKT Rules 95(c) and (d) - Equities and Related Supplementary Material
Additional File No.: SR-NYSE-2012-57
34-68923 Feb. 13, 2013 Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes Deleting NYSE Rules 95(c) and (d) and NYSE MKT Rules 95(c) and (d) - Equities and Related Supplementary Material
Additional File No.: SR-NYSE-2012-57
Comments due: March 13, 2013
Rebuttal comments due: March 27, 2013
34-68521 Dec. 21, 2012 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Deleting NYSE MKT Rules 95(c) and (d) - Equities and Related Supplementary Material
34-68186 Nov. 8, 2012 Notice of Filing of Proposed Rule Change Deleting NYSE MKT Rules 95(c) and (d) – Equities and Related Supplementary
Comments due: December 6, 2012
Additional Materials: Exhibit 5

SR-NYSEMKT-2012-57
34-68156 Nov. 5, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the NYSE Amex Options Fee Schedule to Remove Dividend Spreads from the List of Strategy Executions for which Fee Caps Apply
Comments due: November 30, 2012
Additional Materials: Exhibit 5

SR-NYSEMKT-2012-56
34-68139 Nov. 1, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Amex Options LLC Fee Schedule to Amend the Fees for Specialists and eSpecialists Relating to Qualified Contingent Cross Orders
Comments due:  November 28, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-55
34-68128 Nov. 1, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 968NY to Allow for the Split-Price Priority Provisions to Apply to Open Outcry Trading of Cabinet Trades
Comments due:  November 28, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-54
34-68183 Nov. 8, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase the Options Regulatory Fee and to Revise the Circumstances Under Which NYSE Amex Options LLC Will Collect the Options Regulatory Fee
Comments due: December 6, 2012
Comments received are available for this proposal.

SR-NYSEMKT-2012-53
34-68193 Nov. 8, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary to Exchange Rule 903 Regarding Strike Price Intervals for Classes in the Short Term Option Series Program
Comments due: December 6, 2012

SR-NYSEMKT-2012-52
34-68066 Oct. 18, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 17 - Equities to Add a New Paragraph (c)(3) Addressing the Authority of the Exchange or Archipelago Securities LLC to Cancel Orders When a Technical or Systems Issue Occurs and to Describe the Operation of An Error Account for Arca Securities
Comments due:  November 14, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-51
34-68117 Oct. 26, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 140 and 141 of the NYSE MKT LLC Company Guide to Amend Annual Fees and Certain Other Listing Fees Included Therein and to Make Technical and Conforming Changes
Comments due:  November 23, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-050
34-68036 Oct. 11, 2012 Notice of Filing of a Proposed Rule Change Relating to Criteria for Rebates to Order Flow Providers
Comments due:  November 7, 2012
* Submit comments on SR-NYSEMKT-2012-050

SR-NYSEMKT-2012-49
34-68004 Oct. 9, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Fees for Certain Proprietary Options Market Data Products
Comments due:  November 5, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-48
34-68637 Jan. 11, 2013 Notice of Filing of Amendment No. 3, and Order Granting Accelerated Approval for Proposed Rule Change, as Modified by Amendment Nos. 1 and 3, to Amend the Listing Rules for Compensation Committees to Comply with Securities Exchange Act Rule 10C-1 and Make Other Related Changes
Comments due: February 12, 2013
Additional Materials: Exhibit 5
34-68313 Nov. 28, 2012 Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes Relating to Adoption of Listing Standards for Compensation Committees and Advisors as Required by Rule 10C-1
Additional File Nos.: SR-BATS-2012-039, SR-BX-2012-063, SR-CBOE-2012-094, SR-NASDAQ-2012-109, SR-NYSE-2012-49, SR-NYSEArca-2012-105
34-68007 Oct. 9, 2012 Notice of Filing of Proposed Rule Change, as Modified by Amendment No.1, Amending Sections 110, 801, 803 and 805 of the Exchange's Company Guide to Comply with the Requirements of Securities and Exchange Commission Rule 10C-1
Comments due:  November 5, 2012
Additional Materials:   Exhibit 5
Comments received are available for this notice.
* Submit comments on SR-NYSEMKT-2012-48

SR-NYSEMKT-2012-47
34-67895 Sep. 20, 2012 Notice of Filing of Proposed Rule Change to Amend the NYSE Amex Options LLC Members Agreement to Empower the Volume Dispute Committee to Establish Principles for Determining Whether the Exchange Has Experienced a Bona Fide Systems Problem and to Adjust Certain Volume Measurements Accordingly
Comments due:  October 17, 2012
Additional Materials:   Exhibit 5
* Submit comments on SR-NYSEMKT-2012-47

SR-NYSEMKT-2012-46
34-67838 Sep. 12, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 993NY by Adding a New Paragraph (c) that Addresses the Authority of the Exchange or Archipelago Securities LLC ("Arca Securities") To Cancel Orders When a Technical or Systems Issue Occurs and To Describe the Operation of an Error Account for Arca Securities
Comments due:  October 9, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-45
34-67907 Sep. 21, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 1203(a) and 1205(b) of the NYSE MKT Company Guide ("Company Guide") to Increase the Fees Applicable to Issuers Requesting Review of a Determination to Limit or Prohibit the Continued Listing of Their Securities on the Exchange
Comments due:  October 18, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-44
34-67764 Aug. 31, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule to Change the Number of Amex Trading Permits Required by NYSE Amex Market Makers Based on the Number of Options in Their Appointment
Comments due:  September 28, 2012

SR-NYSEMKT-2012-43
34-67702 Aug. 21, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options LLC Limited Liability Company Agreement to Eliminate Certain Restrictions Relating to the Qualification of Founding Firm Advisory Committee Members
Comments due:  September 17, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-42
34-68191 Nov. 8, 2012 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No.1, Amending Rule 903(h) and Related Commentary .10 to Expand the Number of Expirations Available Under the Short Term Option Series Program ("STOS Program"), to Allow for the Exchange to Delist Series in the STOS Program That Do Not Have Open Interest, and To Expand the Number of Series in the STOS Program Under Limited Circumstances
34-67897 Sep. 20, 2012 Notice of Filing of Proposed Rule Change and Amendment No. 1, Amending Rule 903(h) and Related Commentary .10 to Expand the Number of Expirations Available under the Short Term Option Series Program ("STOS Program"), to Allow for the Exchange to Delist any Series in the STOS that Do Not have Open Interest and to Expand the Number of Series in STOS under Limited Circumstances
Comments due:  October 17, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-41
34-68460 Dec. 18, 2012 Order Granting Approval of Proposed Rule Change to Amend Commentary .04 to NYSE Amex Options Rule 903 to Permit the Exchange to List Additional Strike Prices Until the Close of Trading on the Second Business Day Prior to Monthly Expiration
34-68135 Nov. 1, 2012 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend Commentary .04 to NYSE Amex Options Rule 903 to Permit the Exchange to List Additional Strike Prices Until the Close Of Trading on the Second Business Day Prior to Monthly Expiration in Unusual Market Conditions
34-67862 Sep. 14, 2012 Notice of Filing of Proposed Rule Change Amending Commentary .04 to NYSE Amex Options Rule 903 to Permit the Exchange to List Additional Strike Prices Until the Close Of Trading on the Second Business Day Prior to Monthly Expiration
Comments due:  October 11, 2012

SR-NYSEMKT-2012-40
34-67719 Aug. 23, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Offer Certain Proprietary Options Data Products
Comments due:  September 20,2012

SR-NYSEMKT-2012-39
34-67713 Aug. 22, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 928NY to Expand the Existing Market Maker Risk Limitation Mechanism Making It Available for Orders from Market Makers as Well as Non-Market Maker ATP Holders, and to Provide for Two Additional Risk Limitation Mechanisms
Comments due:  September 18, 2012

SR-NYSEMKT-2012-38
34-67695 Aug. 20, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Making Certain Conforming Changes to Its Rules Following the Change in the Exchange’s Name from NYSE Amex LLC ("NYSE Amex") to NYSE MKT LLC
Comments due:  September 14, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-37
34-67740 Aug. 28, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rules 103B(IX) - Equities and 504 - Equities to Provide that a Designated Market Maker Unit May Trade at the Same Panel Securities Traded on the Exchange and/or Securities Listed on the New York Stock Exchange LLC
Comments due:  September 25,2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-35
34-67609 Aug. 7, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Amendments to the NYSE MKT LLC Price List to Establish Pricing for the Retail Liquidity Program
Comments due:  September 4, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-34
34-67635 Aug. 9, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the NYSE Amex Options Fee Schedule Regarding a Rebate for Order Flow Providers, an Increase in the Service Fee Applicable to Market Makers, and a Fee for Market Maker Executions of SPY Options
Comments due:  September 5, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-33
34-67634 Aug. 9, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Changes to the NYSE Amex Options Fee Schedule Relating to the Monthly Cost for an Amex Trading Permit and Monthly Fees Relating to Trading in Premium Products
Comments due:  September 5, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-29
34-67525 Jul. 27, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE MKT Equities Price List to Change Certain Fees Relating to Trading Pursuant to Unlisted Trading Privileges of Securities Listed on the Nasdaq Stock Market LLC and Other Conforming Changes
Comments due:  August 23, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-28
34-67567 Aug. 1, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 128 - Equities, Which Governs Clearly Erroneous Executions, to Extend the Effective Date of the Pilot by Which Portions of Such Rule Operate Until February 4, 2013
Comments due:  August 28, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-27
34-67568 Aug. 1, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 80C - Equities, Which Provides for Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, to Extend the Effective Date of the Pilot, Until February 4, 2013
Comments due:  August 28, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-26
34-67811 Sep. 10, 2012 Order Approving Proposed Rule Change Amending Rule 76 - Equities to Add Supplementary Material Relating to a Cross Function That Provides a Regulation NMS Rule 611-Compliant Tool for Floor Brokers
34-67489 Jul. 23, 2012 Notice of Filing of Proposed Rule Change Amending Rule 76 - Equities to Add Supplementary Material Relating to a Cross Function that Provides a Regulation NMS Rule 611-Compliant Tool for Floor Brokers
Comments due:  August 17, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-25
34-67497 Jul. 25, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 500 - Equities to Extend the Operation of the Pilot Program that Allows Nasdaq Stock Market Securities to be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges Until the Earlier of Securities and Exchange Commission Approval to Make Such Pilot Permanent or January 31, 2013
Comments due:  August 21, 2012

SR-NYSEMKT-2012-24
34-67505 Jul. 26, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting Existing Rule Text Found in Rule 923NY(d)(1) to (4) Concerning the Number of ATP's Required by an NYSE Amex Options Market Maker to Quote on the Exchange and Move It to the Fee Schedule
Comments due:  August 21, 2012

SR-NYSEMKT-2012-23
34-67902 Sep. 21, 2012 Order Granting Approval of a Proposed Rule Change Amending the Members' Schedule of NYSE Amex Options LLC in Order to Reflect Changes to the Capital Structure of the Company
34-67569 Aug. 1, 2012 Notice of Filing of Proposed Rule Change Amending the Members' Schedule of NYSE Amex Options LLC in Order to Reflect Changes to the Capital Structure of the Company
Comments due:  August 28, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-22
34-67496 Jul. 25, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot, Until the Earlier of the Securities and Exchange Commission's Approval to Make Such Pilot Permanent or January 31, 2013
Comments due:  August 21, 2012

SR-NYSEMKT-2012-21
34-67495 Jul. 25, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its New Market Model Pilot Until the Earlier of Securities and Exchange Commission Approval to Make Such Pilot Permanent or January 31, 2013
Comments due:  August 21, 2012

SR-NYSEMKT-2012-20
34-67444 Jul. 16, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 134 - Equities to Shorten the Time Frame for Assigning the Contra Party to Unresolved Account Balances in the Exchange's Online Comparison System
Comments due:  August 10, 2012

SR-NYSEMKT-2012-19
34-67438 Jul. 13, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Fee for Television Distribution of the NYSE MKT Trades Data Product
Comments due:  August 9, 2012
Comments received are available for this notice.

SR-NYSEMKT-2012-17
34-67420 Jul. 12, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule for Professional Customers and Broker-Dealers to Increase the Transaction Fee for Electronic Executions and Introduce Volume-Based Tiers for Certain Electronic Executions that Would Be Charged a Lower Per Contract Rate
Comments due:  August 8, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-16
34-67321 Jun. 29, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule to Increase the Monthly Fee Per Amex Trading Permit for Order Flow Providers and Clearing Members and Make a Conforming Change to the Current Text in the Fee Schedule
Comments due:  July 26, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-15
34-67346 Jul. 3, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Certain Exchange Rules Related to Floor Official Duties and Responsibilities in the Exchange's Marketplace
Comments due:  July 31, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-14
34-67684 Aug. 17, 2012 Order Granting Approval of Proposed Rule Change Adopting Rules Governing the Listing and Trading of New Products Known as DIVS, OWLS, and RISKS
34-67315 Jun. 29, 2012 Notice of Filing of Proposed Rule Change Adopting Rules Governing the Listing and Trading of New Products Known as DIVS, OWLS, and RISKS
Comments due:  July 27, 2012

SR-NYSEMKT-2012-13
34-67686 Aug. 17, 2012 Order Granting Approval to Proposed Rule Changes, as Modified by Amendment No. 1, (1) Amending NYSE Rule 13 and NYSE MKT Rule 13 - Equities to Establish New Order Types, (2) Amending NYSE Rule 115A and NYSE MKT Rule 115A-Equities to Delete Obsolete Text and to Clarify and Update the Description of The Allocation of Market and Limit Interest in Opening and Reopening Transactions, (3) Amending NYSE Rule 123C and NYSE MKT Rule 123C - Equities to Include Better-Priced G Orders in The Allocation of Orders in Closing Transactions, and (4) Making Other Technical and Conforming Changes (Corrected to conform to Federal Register version)
Additional File Nos.:  SR-NYSE-2012-19
34-67318 Jun. 29, 2012 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, (1) Amending Rule 13 - Equities to Establish New Order Types, (2) Amending Rule 115A - Equities to Delete Obsolete Text and To Clarify and Update the Description of The Allocation of Market and Limit Interest in Opening and Reopening Transactions, (3) Amending Rule 123C - Equities to Include Better-Priced G Orders in The Allocation of Orders in Closing Transactions, and (4) Making Other Technical and Conforming Changes
Comments due:  July 27, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-12
34-67305 Jun. 28, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to Rule 960NY in Order to Extend the Penny Pilot in Options Classes in Certain Issues Through December 31, 2012
Comments due:  July 27, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-11
34-67665 Aug. 15, 2012 Order Approving a Proposed Rule Change Amending the NYSE Amex Options Fee Schedule to Provide for Additional Co-location Services and Establish Related Fees
34-67260 Jun. 26, 2012 Notice of Filing of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule to Provide for Additional Co-location Services and Establish Related Fees
Comments due:  July 23, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-10
34-67664 Aug. 15, 2012 Order Approving a Proposed Rule Change Amending the NYSE MKT Price List to Provide for Additional Co-location Services and Establish Related Fees
34-67261 Jun. 26, 2012 Notice of Filing of Proposed Rule Change Amending the NYSE MKT Price List to Provide for Additional Co-location Services and Establish Related Fees
Comments due:  July 23, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-09
34-67214 Jun. 19, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to amend Rules 921NY, 921.1NY, and 931NY Prescribing the Registered Proprietary Traders Examination (Series 56) As The Qualifying Examination for Registered Market Makers, Market Maker Authorized Traders, and Floor Brokers
Comments due:  July 16, 2012

SR-NYSEMKT-2012-08
34-67194 Jun. 13, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE MKT LLC Amending Commentary .10 to Exchange Rule 903 Allowing the NYSE Amex Options to Open Short Term Option Series That Are Opened by Other Securities Exchanges in Option Classes Selected by Other Exchanges Under Their Respective Short Term Option Rules
Comments due:  July 10, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-07
34-67564 Aug. 1, 2012 Order Granting Approval of Proposed Rule Changes Amending Independence Policy of the Board of Directors of NYSE Euronext and Creating a New Independence Policy for Boards of Directors of the New York Stock Exchange LLC, NYSE MKT LLC, NYSE Regulation, Inc. and NYSE Market, Inc.
Additional File Nos.:  SR-NYSE-2012-17, and SR-NYSEArca-2012-59
34-67184 Jun. 12, 2012 Notice of Filing of Proposed Rule Change Amending Independence Policy of the Board of Directors of NYSE Euronext and Creating New Independence Policy for Boards of Directors of the New York Stock Exchange LLC, NYSE MKT LLC, NYSE Regulation, Inc. and NYSE Market, Inc.
Comments due:  July 9, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-06
34-67129 Jun. 5, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Temporarily suspending the Requirements of Exchange Rule 311 - Equities and Related Exchange Equities Rules Concerning the Approval of New Member Organizations and Exchange Rule 353 and Related Exchange Rules Concerning the Approval of New ATP Holders in Order to Approve Apex Clearing Corporation, f/k/a Ridge Clearing and Outsourcing Solutions, Inc. as an Exchange Equities Member Organization and ATP Holder, Subject to Apex Clearing Complying with Exchange Rules for a New Member Organization and ATP Holder Within 30 Calendar Days of the Date that Apex Clearing is Provisionally Approved as an Exchange Equities Member Organization and ATP Holder
Comments due:  July 2, 2012

SR-NYSEMKT-2012-05
34-67153 Jun. 7, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Amex Options Fee Schedule to Amend the Rights Fee that is Charged to Specialists, e-Specialists and Directed Order Market Makers
Comments due:  July 5, 2012
Additional Materials:   Exhibit 5

SR-NYSEMKT-2012-04
34-67371 Jul. 10, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE MKT LLC Rule 428(a), Which Addresses Telephone Solicitation, and Amending NYSE MKT LLC Rule 429, Which Addresses Telemarketing, to Adopt New Rule Text to Conform to FINRA’s Telemarketing Rule
Comments due:  August 6, 2012

SR-NYSEMKT-2012-03
34-67375 Jul. 10, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE MKT LLC Rule 440A – Equities, Which Addresses Telemarketing, and Adopting New NYSE MKT LLC Rule 3230 – Equities, to Conform to FINRA’s Telemarketing Rule
Comments due:  August 6, 2012

 

http://www.sec.gov/rules/sro/nysemkt/nysemktarchive/nysemktarchive2012.shtml


Modified: 04/23/2014