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NYSE MKT LLC Rulemaking Archive: 2013

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 |  First Quarter

NYSE MKT File Number List for 2013

Additional Archives

Chronological List
Release No. Date Details
Fourth Quarter
SR-NYSEMKT-2013-86
34-71183 Dec. 24, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Adopt Commentary .03 to Rule 980NY to Limit the Volume of Complex Orders by a Single ATP Holder During the Trading Day
See also:  Notice: Rel. No. 34-71222, Notice: Rel. No. 34-70816
SR-NYSEMKT-2013-25
34-71175 Dec. 23, 2013 Order Approving Proposed Rule Changes Amending NYSE Rule 104 and NYSE MKT Rule 104 - Equities, Each as Modified by an Amendment No. 1, to Codify Certain Traditional Trading Floor Functions that May Be Performed by Designated Market Makers, to Make Exchange Systems Available to DMMs that Would Provide DMMs with Certain Market Information, to Amend the Exchanges' Rules Governing the Ability of DMMs to Provide Market Information to Floor Brokers, and to Make Conforming Amendments to Other Rules
Additional File No.: SR-NYSE-2013-21
See also:  Notice: Rel. No. 34-70713, Notice: Rel. No. 34-70047, Notice: Rel. No. 34-69733, Notice: Rel. No. 34-69428
SR-NYSEMKT-2013-102
34-71165 Dec. 20, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer Risk Management Tools Designed to Allow Member Organizations to Monitor and Address Exposure to Risk
Comments due: January 17, 2014
SR-NYSEMKT-2013-104
34-71163 Dec. 20, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposes to Amend Commentary .02 to NYSE Amex Options Rule 960NY in order to Extend the Penny Pilot in Options Classes in Certain Issues Previously Approved by the Securities and Exchange Commission through June 30, 2014
Comments due: January 17, 2014
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-88
34-71157 Dec. 20, 2013 Order Approving Proposed Rule Change Amending Certain Rules that Address Wash Sales in Order to Harmonize the Exchange's Rules with the Rules of New York Stock Exchange LLC and the Financial Industry Regulatory Authority
See also:  Notice: Rel. No. 34-70832
SR-NYSEMKT-2013-103
34-71131 Dec. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer Partial Cabinets and Cabinet Upgrades As Part of Its Colocation Services and to Amend the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule to Reflect the New Services
Comments due: January 14, 2014
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-100
34-71095 Dec. 17, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Its Program that Allows Transactions to Take Place at A Price that is Below $1 Per Option Contract Until January 5, 2015
Comments due: January 13, 2014
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-99
34-71085 Dec. 16, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules 104 - Equities and 123C - Equities to Specify that Closings May be Effectuated Manually or Electronically
Comments due: January 10, 2014
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-98
34-71015 Dec. 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule to Include FLEX Option Transactions in the Strategy Execution Fee Cap
Comments due: January 2, 2014
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-97
34-70982 Dec. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule in Order to Provide for Fees For a Lower-Latency 10 Gigabit Liquidity Center Network Connection in the Exchange's Data Center
Comments due: December 31, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-96
34-70978 Dec. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 925NY to Eliminate the Requirement that Market Makers Comply with the Bid-Ask Differential Requirements Specified in Rule 925NY(b)(4)(A)-(E) When Electronically Bidding and Offering on the Exchange System During the Opening Auction Process
Comments due: December 31, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-95
34-70963 Nov. 29, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rules Concerning Communications with the Public to Harmonize Them with Certain Financial Industry Regulatory Authority, Inc. Rules and Make Other Conforming Changes
Comments due: December 26, 2013
SR-NYSEMKT-2013-84
34-70955 Nov. 27, 2013 Notice of Filing of Proposed Rule Change Amending NYSE MKT Rules 13 - Equities, 70.25 - Equities, 107C - Equities and 1000 - Equities to Adopt a New Order Type Called a Midpoint Passive Liquidity Order
Comments due: December 26, 2013
Additional Materials:  Exhibit 5
See also:  Order: Rel. No. 34-71329
SR-NYSEMKT-2013-93
34-70914 Nov. 21, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule Related to Co-Location Services
Comments due: December 18, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-91
34-70910 Nov. 21, 2013 Notice of Filing of Proposed Rule Change to Establish an Institutional Liquidity Program on a One-Year Pilot Basis
Comments due: December 18, 2013
Additional Materials:  Exhibit 5
See also: Notice: Rel No. 34-72205, Notice: Rel. No. 34-71267, Notice: Rel. No. 34-71609
Comments received are available for this proposal.
SR-NYSEMKT-2013-94
34-70899 Nov. 19, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Revising Rule 61(a)(iii) - Equities to Harmonize the Existing Rule Text With the Recent Amendment to the CTA Plan, and Concordant Change to The Nasdaq UTP Plan, Which Provides That Odd-Lot Transactions Are To Be Reported On The Consolidated Tape
Comments due: December 16, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-92
34-70886 Nov. 15, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Expanding Co-location Services to Provide for a Lower-Latency 10 Gigabit Liquidity Center Network Connection in the Exchange's Data Center
Comments due: December 12, 2013
SR-NYSEMKT-2013-90
34-70854 Nov. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .09 to Rule 903 to Modify the Quarterly Option Series Program to Eliminate the Cap on the Number of Additional Series That May Be Listed Per Expiration Month for Each QOS in Exchange-Traded Fund Options
Comments due: December 10, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-89
34-70864 Nov. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 957NY to Provide That a Pattern or Practice of Late Reporting of Option Transactions to the Exchange for Dissemination to the Options Price Reporting Authority Is Subject to Disciplinary Action
Comments due: December 10, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-88
34-70832 Nov. 7, 2013 Notice of Filing of Proposed Rule Change Amending Certain Rules that Address Wash Sales in Order to Harmonize the Exchange's Rules with the Rules of New York Stock Exchange LLC and the Financial Industry Regulatory Authority
Comments due: December 5, 2013
Additional Materials:  Exhibit 5
See also:  Order: Rel. No. 34-71157
SR-NYSEMKT-2013-86
34-70816 Nov. 6, 2013

Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Adopt Commentary .03 to Rule 980NY to Limit the Volume of Complex Orders by a Single ATP Holder During the Trading Day
Comments due: December 4, 2013
Additional Materials:  Exhibit 5
See also:  Notice: Rel. No. 34-71222, Notice: Rel. No. 34-71183
Comments received are available for this proposal.

SR-NYSEMKT-2013-66
34-70822 Nov. 6, 2013 Notice of Filing of Amendment No. 1 and Order Granting Approval to Proposed Rule Changes, as Modified by Amendment No. 1, that Address the Exchanges' Emergency Powers
Comments due: 21 days after publication in the Federal Register
Additional File Nos.: SR-NYSE-2013-54, SR-NYSEArca-2013-77
See also:  Notice: Rel. No. 34-70463, Notice: Rel. No. 34-70098
SR-NYSEMKT-2013-59
34-70802 Nov. 4, 2013 Notice of Withdrawal of Proposed Rule Change Relating to NDX and RUT Combination Orders
See also: Order: Rel. No. 34-70588, Notice: Rel. No. 34-70235, Notice: Rel. No. 34-69919
SR-NYSEMKT-2013-87
34-70799 Nov. 1, 2013 Notice of Filing of Proposed Rule Change Regarding Elimination of the Cancellation Fee from the NYSE Amex Options Fee Schedule
Comments due: November 29, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-85
34-70760 Oct. 28, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 980NY to Specify that the Specialist Pool and Directed Order Market Makers Receive Execution Allocations of Incoming Electronic Complex Orders and Complex Order Auction Eligible Orders in Accordance with the Guaranteed Participation Provision of Rule 964NY(c)(2)(B), Without Any Exceptions
Comments due: November 22, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-83
34-70734 Oct. 22, 2013 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: November 18, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-81
34-70717 Oct. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 975NY
Comments due: November 14, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-25
34-70713 Oct. 18, 2013 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Changes, as Modified by Amendment Nos. 1, Amending NYSE Rule 104 and NYSE MKT Rule 104 - Equities to Codify Certain Traditional Trading Floor Functions that May Be Performed by Designated Market Makers, to make Exchange Systems Available to DMMs That Would Provide DMMs with Certain Market Information, to Amend the Exchanges' Rules Governing the Ability of DMMs to Provide Market Information to Floor Brokers, and to Make Conforming Amendments to Other Rules
Additional File No.: SR-NYSE-2013-21
See also:  Order: Rel. No. 34-71175, Notice: Rel. No. 34-70047, Notice: Rel. No. 34-69733, Notice: Rel. No. 34-69428
SR-NYSEMKT-2013-82
34-70696 Oct. 16, 2013 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 Exchange-Provided Cell Phones Beginning on October 10, 2013 Until The Earlier of When Cell Phone Service is Restored or October 11, 2013
Comments due: November 12, 2013
SR-NYSEMKT-2013-80
34-70674 Oct. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding a New Rule to Adopt Price Protection Filters for Electronic Complex Orders
Comments due: November 12, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-79
34-70653 Oct. 10, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 2 - Equities to Specify that The Definition of An Approved Person Does Not Include A Governmental Entity and Amending Rule 304 - Equities To Provide That If A Governmental Entity Directly or Indirectly Owns A Member Organization, Then The Member Organization Must Identify Such Governmental Entity to The Exchange
Comments due: November 12, 2013
SR-NYSEMKT-2013-77
34-70599 Oct. 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 341A to Specify Applicable Continuing Education Requirements, Amending the NYSE Amex Options Fee Schedule to Specify Corresponding CE Fees and to Specify Fees for the Series 56 Examination
Comments due: November 12, 2013
SR-NYSEMKT-2013-59
34-70588 Oct. 1, 2013 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to NDX and RUT Combination Orders
Comments due: November 12, 2013
Rebuttal comments due: November 26, 2013 See also: Notice: Rel. No. 34-70802, Notice: Rel. No. 34-70235, Notice: Rel. No. 34-69919
Third Quarter
SR-NYSEMKT-2013-78
34-70517 Sep. 26, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Program for Certain Clearly Erroneous Executions Under Rule 128 - Equities and Removing References to Individual Security Trading Pauses Contained in Rule 128(c)(4) - Equities
Comments due: October 23, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-76
34-70499 Sep. 25, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Amex Options Fee Schedule to Specify the Frequency with which the Exchange May Change the Options Regulatory Fee
Comments due: October 22, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
SR-NYSEMKT-2013-66
34-70463 Sep. 20, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes that Address the Exchanges' Emergency Powers
Additional File Nos.: SR-NYSE-2013-54, SR-NYSEArca-2013-77
See also:  Notice: Rel. No. 34-70822, Notice: Rel. No. 34-70098
SR-NYSEMKT-2013-75
34-70445 Sep. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Implement a One-Day 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 Exchange-Provided Cell Phones on September 11, 2013
Comments due: October 15, 2013
SR-NYSEMKT-2013-73
34-70373 Sep. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain of its Rules Pertaining to the Trading of Options in Order to Change the Expiration Date for Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the third Friday
Comments due: October 8, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-72
34-70294 Aug. 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete Certain Obsolete Rules that Relate to its Disciplinary Proceedings and Make a Conforming Change
Comments due: September 27, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-71
34-70285 Aug. 29, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE MKT Equities Price List and NYSE Amex Options Fee Schedule to Provide for Fees for a 40 Gigabit Liquidity Center Network Connection in the Exchange Data Center
Comments due: September 26, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-59
34-70235 Aug. 20, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Rule 965NY, Which Governs NDX and RUT Combination Orders
Comments received are available for this notice. See also: Notice: Rel. No. 34-70802, Order: Rel. No. 34-70588, Notice: Rel. No. 34-69919
SR-NYSEMKT-2013-69
34-70212 Aug. 15, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for Display Use of the NYSE MKT BBO and NYSE MKT Trades Market Data Products and Making Certain Technical Changes to the Fee Schedule
Comments due: September 11, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-50
34-70210 Aug. 15, 2013 Order Granting Approval of Proposed Rule Change Relating to a Corporate Transaction in which NYSE Euronext Will Become a Wholly-Owned Subsidiary of IntercontinentalExchange Group, Inc.
Additional File Nos.: SR-NYSE-2013-42, SR-NYSEArca-2013-62
See also:  Notice: Rel. No. 34-69849
SR-NYSEMKT-2013-67
34-70176 Aug. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Describe the Billing Practice for Co-location Services and Expand Co-location Services to Provide for a 40 Gigabit Liquidity Center Network Connection
Comments due: September 9, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-68
34-70169 Aug. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .10 to Rule 903 to Modify the Short-Term Option Series Program to Increase the Number of Classes that are Eligible to Participate in the Program from Five to 30
Comments due: September 9, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-63
34-70123 Aug. 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Message To Contracts Traded Ratio Fee in the NYSE Amex Options Fee Schedule
Comments due: September 3, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-60
34-70100 Aug. 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program for An Additional 12 Months, to Expire on July 31, 2014
Comments due: August 29, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-66
34-70098 Aug. 2, 2013 Notice of Filing of Proposed Rule Change to Adopt the Text of New York Stock Exchange Rule 49 as Rule 49 - Equities In Order To Authorize Exchange Officials To Exercise the Same Emergency Powers As NYSE Officials May Exercise
Comments due: August 29, 2013
Additional Materials:  Exhibit 5
See also:  Notice: Rel. No. 34-70822, Notice: Rel. No. 34-70463
Comments received are available for this proposal.
SR-NYSEMKT-2013-65
34-70071 Jul. 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Amex Options Fee Schedule to Increase the Royalty Fees Applicable to Non-Customer Transactions in Options on the Russell 2000 Index
Comments due: August 26, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-64
34-70065 Jul. 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Content of the NYSE MKT Trades Digital Media Data Feed
Comments due: August 26, 2013
SR-NYSEMKT-2013-25
34-70047 Jul. 26, 2013 Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes Amending NYSE Rule 104 and NYSE MKT Rule 104- Equities, as Modified by Amendment Nos. 1, to Codify Certain Traditional Trading Floor Functions that may be Performed by Designated Market Makers, to make Exchange Systems Available to DMMs that would Provide DMMs with Certain Market Information, to Amend the Exchanges' Rules Governing the Ability of DMMs to Provide Market Information to Floor brokers, and to Make Conforming Amendments to Other Rules
Comments due: August 22, 2013
Rebuttal comments due: September 5, 2013
Additional File No.: SR-NYSE-2013-21
See also:  Order: Rel. No. 34-71175, Notice: Rel. No. 34-70713, Notice: Rel. No. 34-69733, Notice: Rel. No. 34-69428
Comments received are available for this proposal.
SR-NYSEMKT-2013-62
34-70037 Jul. 25, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding a New Rule to Codify Existing Price Protection Mechanisms
Comments due: August 21, 2013
Additional Materials:  Exhibit 5
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
See also:  Notice: Rel. No. 34-69575; Order: Rel. No. 34-68923, Notice: Rel. No. 34-68521, Notice: Rel. No. 34-68186
SR-NYSEMKT-2013-55
34-69974 Jul. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Change the Monthly Fees for the Use of Certain Ports
Comments due: August 7, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-61
34-69952 Jul. 9, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rules 504 and 509 - Equities with Respect to DMM Quoting Requirements Applicable to Nasdaq Stock Market Securities Traded on the Exchange Pursuant to A Grant of Unlisted Trading Privileges
Comments due: August 5, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-59
34-69919 Jul. 2, 2013 Notice of Filing of Proposed Rule Change Amending Rule 965NY, Which Governs NDX and RUT Combination Orders
Comments due: July 30, 2013
Additional Materials:  Exhibit 5
See also: Notice: Rel. No. 34-70802, Order: Rel. No. 34-70588, Notice: Rel. No. 34-70235
Comments received are available for this proposal.
Second Quarter
SR-NYSEMKT-2013-57
34-69881 Jun. 27, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 980NY to Modify the Information Disseminated at the Initiation of a Complex Order Auction
Comments due: July 24, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-50
34-69849 Jun. 25, 2013 Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction in which Its Indirect Parent, NYSE Euronext, Will Become a Wholly Owned Subsidiary of IntercontinentalExchange Group, Inc.
Comments due: July 22, 2013
Additional Materials:  Exhibit 5A, Exhibit 5B, Exhibit 5C, Exhibit 5D, Exhibit 5E, Exhibit 5F, Exhibit 5G, Exhibit 5H, Exhibit 5I, Exhibit 5J, Exhibit 5K, Exhibit 5L, Exhibit 5M, Exhibit 5N, Exhibit 5O
See also:  Order: Rel. No. 34-70210
SR-NYSEMKT-2013-37
34-69836 Jun. 24, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Listing Standard for Reverse Merger Companies
Comments due: July 19, 2013
SR-NYSEMKT-2013-54
34-69827 Jun. 21, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Making a Non-Substantive, Technical Amendment to Exchange Rule 900.3NY(o) to Correct a Cross Reference to Exchange Rule 964NY
Comments due: July 18, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-58
34-69822 Jun. 21, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Replacing References to "Principle Executive" With References to "Principal Executive" in the Exchange's Rules
Comments due: July 18, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-52
34-69820 Jun. 21, 2013 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, 2014
Comments due: July 18, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-51
34-69812 Jun. 20, 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 January 31, 2014
Comments due: July 18, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-53
34-69814 Jun. 20, 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 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, 2014
Comments due: July 18, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-48
34-69791 Jun. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to NYSE Amex Options Rule 960NY to Extend the Penny Pilot in Options Classes in Certain Issues Through December 31, 2013
Comments due: July 15, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-49
34-69764 Jun. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing To Permit Traders Conducting Certain Futures and Options Trading On ICE Futures U.S. In Space Rented From The Exchange At 20 Broad Street To Access The IFUS Trading Floor Prior To 7 a.m. And On Days That The Exchange Is Closed Via The Exchange's 11 Wall Street Facilities And To Permit Additional IFUS Traders To Conduct Business On The IFUS Trading Floor
Comments due: July 11, 2013
SR-NYSEMKT-2013-25
34-69733 Jun. 11, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending NYSE MKT Rule 104 - Equities to Codify Certain Traditional Trading Floor Functions that may be Performed by Designated Market Makers, to make Exchange Systems Available to DMMs that would Provide DMMs with Certain Market Information, to Amend the Exchange's Rules Governing the Ability of DMMs to Provide Market Information to Floor brokers, and to Make Conforming Amendments to Other Rules
See also:  Order: Rel. No. 34-71175, Notice: Rel. No. 34-70713, Order: Rel. No. 34-70047, Notice: Rel. No. 34-69428
Comments received are available for this proposal.
SR-NYSEMKT-2013-45
34-69692 Jun. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Its Program That Allows Transactions To Take Place At A Price That Is Below $1 Per Option Contract Until January 5, 2014
Comments due: July 1, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-46
34-69696 Jun. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1000 - Equities to Revise the Manner by which the Exchange will Phase Out the Functionality Associated with Liquidity Replenishment Points in Connection with the Implementation of the Limit Up - Limit Down Plan
Comments due: July 1, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
SR-NYSEMKT-2013-42
34-69673 May 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 980NY, to Remove Provisions Governing How the Complex Matching Engine Handles Electronic Complex Orders That Contain a Stock Leg
Comments due: June 26, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-12
34-69608 May 20, 2013 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Amending Rule 975NY In Part and Adding a New Section to Address Errors that Involve Complex Orders
Comments due: June 14, 2013
See also:  Notice: Rel. No. 34-68926
SR-NYSEMKT-2012-58
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
See also:  Order: Rel. No. 34-69983, Order: Rel. No. 34-68923, Notice: Rel. No. 34-68521, Notice: Rel. No. 34-68186
SR-NYSEMKT-2013-40
34-69553 May 10, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Non-Display Usage Fees and Amending the Professional End-User Fees for NYSE Amex Options Market Data
Comments due: June 6, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
SR-NYSEMKT-2013-35
34-69524 May 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Schedule of the NYSE Amex Options Proprietary Market Data Fees
Comments due: May 31, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
SR-NYSEMKT-2013-07
34-69513 May 3, 2013 Order Granting Approval to Proposed Rule Changes Amending the Attestation Requirement of Rule 107C (NYSE) and 107C - Equities (NYSE MKT) To Allow a Retail Member Organization To Attest That "Substantially All" Orders Submitted To The Retail Liquidity Program Will Qualify As "Retail Orders"
See also:  Notice: Rel. No. 34-69187, Notice: Rel. No. 34-68746
SR-NYSEMKT-2013-36
34-69501 May 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 - Equities to Expand the Availability of Self-Trade Prevention Modifiers
Comments due: May 29, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
SR-NYSEMKT-2013-39
34-69489 May 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Amex Options Fee Schedule to Modify the Existing Floor Broker Rebate for Executed Qualified Contingent Cross Orders
Comments due: May 28, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-38
34-69488 May 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Options Fee Schedule for Firms to Increase the Transaction Fee for Certain Proprietary Electronic Executions and to Introduce Volume-Based Tiers for Certain Proprietary Electronic Executions
Comments due: May 28, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-25
34-69428 Apr. 23, 2013 Notice of Filing of Proposed Rule Change to amend NYSE MKT Rule 104 - Equities to Codify Certain Traditional Trading Floor Functions that may be Performed by Designated Market Makers to Make Exchange Systems Available to DMMs that would Provide DMMs with Certain Market Information, to Amend the Exchange's Rules Governing the Ability of DMMs to Provide Market Information to Floor Brokers, and to Make Conforming Amendments to Other Rules
Comments due: May 20, 2013
Additional Materials:  Exhibit 5
See also:  Order: Rel. No. 34-71175, Notice: Rel. No. 34-70713, Order: Rel. No. 34-70047, Notice: Rel. No. 34-69733
Comments received are available for this proposal.
SR-NYSEMKT-2013-34
34-69388 Apr. 17, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Members' Schedule of NYSE Amex Options LLC (the "Company") In Order To Reflect Changes To the Capital Structure of the Company
Comments due: May 14, 2013
Additional Materials:  Exhibit 5A and Exhibit 5B
SR-NYSEMKT-2013-10
34-69339 Apr. 8, 2013 Order Approving, on an Accelerated Basis, Proposed Rule Change, as Modified by Amendment No. 1, Adopting Exchange Rule 953.1NY to Provide for How the Exchange Proposes to Treat Orders, Market-Making Quoting Obligations, and Errors in Response to the Regulation NMS Plan to Address Extraordinary Market Volatility; and Amending Exchange Rule 953NY to Codify that the Exchange Shall Halt Trading in All Options Overlying NMS Stocks When the Equities Markets Initiate a Market-Wide Trading Halt Due to Extraordinary Market Volatility
See also:  Notice: Rel. No. 34-69033
SR-NYSEMKT-2013-31
34-69300 Apr. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Certain Fees for the NYSE MKT Trades and NYSE MKT Realtime Reference Prices Market Data Products
Comments due: May 1, 2013
Comments received are available for this proposal.
SR-NYSEMKT-2013-33
34-69294 Apr. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 1000
Comments due: May 1, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-32
34-69285 Apr. 3, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Certain Fees for NYSE MKT OpenBook, NYSE MKT Trades, and NYSE MKT BBO
Comments due: April 30, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
SR-NYSEMKT-2013-30
34-69273 Apr. 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Establish the NYSE MKT Trades Digital Media Data Feed and a Schedule of the NYSE MKT Equities Proprietary Market Data Fees
Comments due: April 29, 2013
Additional Materials:  Exhibit 5
First Quarter
SR-NYSEMKT-2013-28
34-69255 Mar. 28, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Option Trading Rules to Extend the Operation of Its Pilot Program Regarding Minimum Value Sizes for Flexible Exchange Options Until March 31, 2014
Comments due: April 24, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-24
34-69247 Mar. 27, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Amex Options Fee Schedule to Establish Fees for Mini-Options Contracts
Comments due: April 23, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
SR-NYSEMKT-2013-29
34-69198 Mar. 20, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Definition of Complex Orders, Complex Trades and Stock/Options Orders to Accommodate the Trading of Option Contracts Overlying 10 Shares of a Security
Comments due: April 17, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-07
34-69187 Mar. 20, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes Amending the Attestation Requirement of Rules 107C and 107C-Equities, Respectively, To Allow a Retail Member Organization To Attest That "Substantially All" Orders Submitted To The Retail Liquidity Program Will Qualify As "Retail Orders"
See also:  Order: Rel. No. 34-69513, Notice: Rel. No. 34-68746
SR-NYSEMKT-2013-26
34-69174 Mar. 19, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Certain Rules to Accommodate the Trading of Option Contracts Overlying 10 Shares of Certain Securities
Comments due: April 15, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-23
34-69131 Mar. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to List and Trade Option Contracts Overlying 10 Shares of Certain Securities
Comments due: April 9, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-17
34-69105 Mar. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to NYSE Amex Options Rule 960NY to Extend the Penny Pilot in Options Classes in Certain Issues Through June 30, 2013
Comments due: April 5, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-22
34-69104 Mar. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 107C-Equities to Clarify That a Retail Member Organization May Submit Retail Orders to the Retail Liquidity Program in a Riskless Principal Capacity as well as in an Agency Capacity
Comments due: April 5, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-21
34-69098 Mar. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 - Equities to Add Two Self-Trade Prevention Modifiers That May Be Used by Certain Market Participants
Comments due: April 5, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-16
34-69081 Mar. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules Governing Order Format and System Entry Requirements
Comments due: April 4, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-10
34-69033 Mar. 4, 2013 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Adopting Exchange Rule 953.1NY to Provide for How the Exchange Proposes to Treat Orders, Market-Making Quoting Obligations, and Errors in Response to the Regulation NMS Plan to Address Extraordinary Market Volatility; and Amending Exchange Rule 953NY to Codify that the Exchange Shall Halt Trading in All Options Overlying NMS Stocks When the Equities Markets Initiate a Market-Wide Trading Halt Due to Extraordinary Market Volatility
Comments due: March 29, 2013
Additional Materials:  Exhibit 5
See also:  Order: Rel. No. 34-69339
SR-NYSEMKT-2013-13
34-68997 Feb. 27, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relocating Certain Futures and Options Trading Conducted on ICE Futures U.S. From Rented Space at the New York Mercantile Exchange to the Exchange’s Facilities at 20 Broad Street and Amending Rule 6A - Equities, Which Defines the Terms “Trading Floor” and “NYSE Amex Options Trading Floor”
Comments due: March 26, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
SR-NYSEMKT-2013-14
34-68957 Feb. 20, 2013 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, March 29, 2013
Comments due: March 19, 2013
SR-NYSEMKT-2013-12
34-68926 Feb. 14, 2013 Notice of Filing of Proposed Rule Change Amending Rule 975NY In Part and Adding a New Section to Address Errors That Involve Complex Orders
Comments due: March 14, 2013
Additional Materials:  Exhibit 5
See also:  Notice: Rel. No. 34-69608
SR-NYSEMKT-2012-58
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
See also:  Order: Rel. No. 34-69983, Notice: Rel. No. 34-69575, Notice: Rel. No. 34-68521, Notice: Rel. No. 34-68186
SR-NYSEMKT-2013-05
34-68875 Feb. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 80C -Equities to Establish Rules to Comply with the Requirements of the Plan to Address Extraordinary Market Volatility Submitted to the Commission Pursuant to Rule 608 of Regulation NMS
Comments due: March 7, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-11
34-68801 Feb. 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 128 - Equities, which Governs Clearly Erroneous Executions, Extending the Effective Date of the Pilot Until September 30, 2013 and Adopting New Paragraph (i) to Rule 128-Equities in Connection with the Upcoming Operation of the Plan to Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS under the Act
Comments due: February 27, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-08
34-68787 Jan. 31, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Delaying the Operative Date of A Rule Change to Exchange Rule 80B - Equities, Which Provides for Methodology for Determining When to Halt Trading in All Stocks Due to Extraordinary Market Volatility, From the Date of February 4, 2013, Until April 8, 2013
Comments due: February 27, 2013
SR-NYSEMKT-2013-07
34-68746 Jan. 28, 2013 Notice of Filing of Proposed Rule Change Amending the Attestation Requirement of Rule 107C - Equities To Allow a Retail Member Organization To Attest That "Substantially All" Orders Submitted To The Retail Liquidity Program Will Qualify As "Retail Orders"
Comments due: February 25, 2013
Additional Materials:  Exhibit 5
See also:  Order: Rel. No. 34-69513, Notice: Rel. No. 34-69187
Comments received are available for this proposal.
SR-NYSEMKT-2013-04
34-68744 Jan. 28, 2013 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, Extending the Effective Date of the Pilot Until the Earlier of the Initial Date of Operations of the Regulation NMS Plan to Address Extraordinary Market Volatility or February 4, 2014
Comments due: February 25, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-02
34-68710 Jan. 23, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 107C - Equities to Allow Retail Liquidity Providers to Enter Retail Price Improvement Orders in a Non-RLP Capacity for Securities to Which the RLP is Not Assigned
Comments due: February 19, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-06
34-68705 Jan. 22, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend 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, February 15, 2013
Comments due: February 19, 2013
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
See also:  Notice: Rel. No. 34-68313, Notice: Rel. No. 34-68007
SR-NYSEMKT-2013-01
34-68630 Jan. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List with Respect to Regulatory Fees Related to the Central Registration Depository, Which are Collected by the Financial Industry Regulatory Authority, Inc.
Comments due: February 7, 2013
Additional Materials:  Exhibit 5
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-2012-84
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-2012-85
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

NYSEMKT File Number List for 2013
Release No. Date Details
SR-NYSEMKT-2013-107
34-71245 Jan. 7, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 123C(7)(b) - Equities to Provide that G Orders with A Price Equal to the Closing Price Are the Last Interest Eligible To Be Used to Offset A Closing Imbalance
Comments due: February 3, 2014
SR-NYSEMKT-2013-106
34-71252 Jan. 7, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 928NY to Expand the Scope of the Existing Risk Limitation Mechanism to Address Multiple, Successive Triggers of the Risk Limitation Mechanism
Comments due: February 3, 2014
SR-NYSEMKT-2013-104
34-71163 Dec. 20, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposes to Amend Commentary .02 to NYSE Amex Options Rule 960NY in order to Extend the Penny Pilot in Options Classes in Certain Issues Previously Approved by the Securities and Exchange Commission through June 30, 2014
Comments due: January 17, 2014
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-103
34-71131 Dec. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer Partial Cabinets and Cabinet Upgrades As Part of Its Colocation Services and to Amend the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule to Reflect the New Services
Comments due: January 14, 2014
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-102
34-71165 Dec. 20, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer Risk Management Tools Designed to Allow Member Organizations to Monitor and Address Exposure to Risk
Comments due:January 17, 2014
SR-NYSEMKT-2013-100
34-71095 Dec. 17, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Its Program that Allows Transactions to Take Place at A Price that is Below $1 Per Option Contract Until January 5, 2015
Comments due: January 13, 2014
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-99
34-71085 Dec. 16, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules 104 - Equities and 123C - Equities to Specify that Closings May be Effectuated Manually or Electronically
Comments due: January 10, 2014
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-98
34-71015 Dec. 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule to Include FLEX Option Transactions in the Strategy Execution Fee Cap
Comments due: January 2, 2014
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-97
34-70982 Dec. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule in Order to Provide for Fees For a Lower-Latency 10 Gigabit Liquidity Center Network Connection in the Exchange's Data Center
Comments due: December 31, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-96
34-70978 Dec. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 925NY to Eliminate the Requirement that Market Makers Comply with the Bid-Ask Differential Requirements Specified in Rule 925NY(b)(4)(A)-(E) When Electronically Bidding and Offering on the Exchange System During the Opening Auction Process
Comments due: December 31, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-95
34-70963 Nov. 29, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rules Concerning Communications with the Public to Harmonize Them with Certain Financial Industry Regulatory Authority, Inc. Rules and Make Other Conforming Changes
Comments due: December 26, 2013
SR-NYSEMKT-2013-94
34-70899 Nov. 19, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Revising Rule 61(a)(iii) - Equities to Harmonize the Existing Rule Text With the Recent Amendment to the CTA Plan, and Concordant Change to The Nasdaq UTP Plan, Which Provides That Odd-Lot Transactions Are To Be Reported On The Consolidated Tape
Comments due: December 16, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-93
34-70914 Nov. 21, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule Related to Co-Location Services
Comments due: December 18, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-92
34-70886 Nov. 15, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Expanding Co-location Services to Provide for a Lower-Latency 10 Gigabit Liquidity Center Network Connection in the Exchange's Data Center
Comments due: December 12, 2013
SR-NYSEMKT-2013-91
34-72205 May 21, 2014 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Changes to Establish an Institutional Liquidity Program on a One-Year Pilot Basis
Additional File No.: SR-NYSE-2013-72
34-71609 Feb. 25, 2014 Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Changes to Establish an Institutional Liquidity Program on a One-Year Pilot Basis
Additional File No.: SR-NYSE-2013-72
34-71267 Jan. 9, 2014 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes to Establish an Institutional Liquidity Program on a One-Year Pilot Basis
Additional File No.: SR-NYSE-2013-72
34-70910 Nov. 21, 2013 Notice of Filing of Proposed Rule Change to Establish an Institutional Liquidity Program on a One-Year Pilot Basis
Comments due: December 18, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
SR-NYSEMKT-2013-90
34-70854 Nov. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .09 to Rule 903 to Modify the Quarterly Option Series Program to Eliminate the Cap on the Number of Additional Series That May Be Listed Per Expiration Month for Each QOS in Exchange-Traded Fund Options
Comments due: December 10, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-89
34-70864 Nov. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 957NY to Provide That a Pattern or Practice of Late Reporting of Option Transactions to the Exchange for Dissemination to the Options Price Reporting Authority Is Subject to Disciplinary Action
Comments due: December 10, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-88
34-71157 Dec. 20, 2013 Order Approving Proposed Rule Change Amending Certain Rules that Address Wash Sales in Order to Harmonize the Exchange's Rules with the Rules of New York Stock Exchange LLC and the Financial Industry Regulatory Authority
34-70832 Nov. 7, 2013 Notice of Filing of Proposed Rule Change Amending Certain Rules that Address Wash Sales in Order to Harmonize the Exchange's Rules with the Rules of New York Stock Exchange LLC and the Financial Industry Regulatory Authority
Comments due: December 5, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-87
34-70799 Nov. 1, 2013 Notice of Filing of Proposed Rule Change Regarding Elimination of the Cancellation Fee from the NYSE Amex Options Fee Schedule
Comments due: November 29, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-86
34-71222 Jan. 2, 2014 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, to Adopt Commentary .03 to Rule 980NY to Limit the Volume of Complex Orders by a Single ATP Holder During the Trading Day
Comments due: January 29, 2014
34-71183 Dec. 24, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Adopt Commentary .03 to Rule 980NY to Limit the Volume of Complex Orders by a Single ATP Holder During the Trading Day
34-70816 Nov. 6, 2013 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Adopt Commentary .03 to Rule 980NY to Limit the Volume of Complex Orders by a Single ATP Holder During the Trading Day
Comments due: December 4, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
SR-NYSEMKT-2013-85
34-70760 Oct. 28, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 980NY to Specify that the Specialist Pool and Directed Order Market Makers Receive Execution Allocations of Incoming Electronic Complex Orders and Complex Order Auction Eligible Orders in Accordance with the Guaranteed Participation Provision of Rule 964NY(c)(2)(B), Without Any Exceptions
Comments due: November 22, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-84
34-71329 Jan. 16, 2014 Order Approving Proposed Rule Change Amending NYSE MKT Rules 13 - Equities, 70.25 - Equities, 107C - Equities and 1000 - Equities to Adopt a New Order Type Called a Midpoint Passive Liquidity Order
34-70955 Nov. 27, 2013 Notice of Filing of Proposed Rule Change Amending NYSE MKT Rules 13 - Equities, 70.25 - Equities, 107C - Equities and 1000 - Equities to Adopt a New Order Type Called a Midpoint Passive Liquidity Order
Comments due: December 26, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-83
34-70734 Oct. 22, 2013 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: November 18, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-82
34-70696 Oct. 16, 2013 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 Exchange-Provided Cell Phones Beginning on October 10, 2013 Until The Earlier of When Cell Phone Service is Restored or October 11, 2013
Comments due: November 12, 2013
SR-NYSEMKT-2013-81
34-70717 Oct. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 975NY
Comments due: November 14, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-80
34-70674 Oct. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding a New Rule to Adopt Price Protection Filters for Electronic Complex Orders
Comments due: November 12, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-79
34-70653 Oct. 10, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 2 - Equities to Specify that The Definition of An Approved Person Does Not Include A Governmental Entity and Amending Rule 304 - Equities To Provide That If A Governmental Entity Directly or Indirectly Owns A Member Organization, Then The Member Organization Must Identify Such Governmental Entity to The Exchange
Comments due: November 12, 2013
SR-NYSEMKT-2013-78
34-70517 Sep. 26, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Program for Certain Clearly Erroneous Executions Under Rule 128 - Equities and Removing References to Individual Security Trading Pauses Contained in Rule 128(c)(4) - Equities
Comments due: October 23, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-77
34-70599 Oct. 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 341A to Specify Applicable Continuing Education Requirements, Amending the NYSE Amex Options Fee Schedule to Specify Corresponding CE Fees and to Specify Fees for the Series 56 Examination
Comments due: November 12, 2013
SR-NYSEMKT-2013-76
34-70499 Sep. 25, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Amex Options Fee Schedule to Specify the Frequency with which the Exchange May Change the Options Regulatory Fee
Comments due: October 22, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
SR-NYSEMKT-2013-75
34-70445 Sep. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Implement a One-Day 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 Exchange-Provided Cell Phones on September 11, 2013
Comments due: October 15, 2013
SR-NYSEMKT-2013-73
34-70373 Sep. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain of its Rules Pertaining to the Trading of Options in Order to Change the Expiration Date for Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the third Friday
Comments due: October 8, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-72
34-70294 Aug. 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete Certain Obsolete Rules that Relate to its Disciplinary Proceedings and Make a Conforming Change
Comments due: September 27, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-71
34-70285 Aug. 29, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE MKT Equities Price List and NYSE Amex Options Fee Schedule to Provide for Fees for a 40 Gigabit Liquidity Center Network Connection in the Exchange Data Center
Comments due: September 26, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-69
34-70212 Aug. 15, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for Display Use of the NYSE MKT BBO and NYSE MKT Trades Market Data Products and Making Certain Technical Changes to the Fee Schedule
Comments due: September 11, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-68
34-70169 Aug. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .10 to Rule 903 to Modify the Short-Term Option Series Program to Increase the Number of Classes that are Eligible to Participate in the Program from Five to 30
Comments due: September 9, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-67
34-70176 Aug. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Describe the Billing Practice for Co-location Services and Expand Co-location Services to Provide for a 40 Gigabit Liquidity Center Network Connection
Comments due: September 9, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-66
34-70822 Nov. 6, 2013 Notice of Filing of Amendment No. 1 and Order Granting Approval to Proposed Rule Changes, as Modified by Amendment No. 1, that Address the Exchanges' Emergency Powers
Comments due: 21 days after publication in the Federal Register
Additional File Nos.: SR-NYSE-2013-54, SR-NYSEArca-2013-77
* 
34-70463 Sep. 20, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes that Address the Exchanges' Emergency Powers
Additional File Nos.: SR-NYSE-2013-54, SR-NYSEArca-2013-77
34-70098 Aug. 2, 2013 Notice of Filing of Proposed Rule Change to Adopt the Text of New York Stock Exchange Rule 49 as Rule 49 - Equities In Order To Authorize Exchange Officials To Exercise the Same Emergency Powers As NYSE Officials May Exercise
Comments due: August 29, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
SR-NYSEMKT-2013-65
34-70071 Jul. 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Amex Options Fee Schedule to Increase the Royalty Fees Applicable to Non-Customer Transactions in Options on the Russell 2000 Index
Comments due: August 26, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-64
34-70065 Jul. 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Content of the NYSE MKT Trades Digital Media Data Feed
Comments due: August 26, 2013
SR-NYSEMKT-2013-63
34-70123 Aug. 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Message To Contracts Traded Ratio Fee in the NYSE Amex Options Fee Schedule
Comments due: September 3, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-62
34-70037 Jul. 25, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding a New Rule to Codify Existing Price Protection Mechanisms
Comments due: August 21, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-61
34-69952 Jul. 9, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rules 504 and 509 - Equities with Respect to DMM Quoting Requirements Applicable to Nasdaq Stock Market Securities Traded on the Exchange Pursuant to A Grant of Unlisted Trading Privileges
Comments due: August 5, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-60
34-70100 Aug. 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program for An Additional 12 Months, to Expire on July 31, 2014
Comments due: August 29, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-59
34-70802 Nov. 4, 2013 Notice of Withdrawal of Proposed Rule Change Relating to NDX and RUT Combination Orders
34-70588 Oct. 1, 2013 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to NDX and RUT Combination Orders
Comments due: November 12, 2013
Rebuttal comments due: November 26, 2013
34-70235 Aug. 20, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Rule 965NY, Which Governs NDX and RUT Combination Orders Comments received are available for this notice.
34-69919 Jul. 2, 2013 Notice of Filing of Proposed Rule Change Amending Rule 965NY, Which Governs NDX and RUT Combination Orders
Comments due: July 30, 2013
Additional Materials:  Exhibit 5 Comments received are available for this proposal.
SR-NYSEMKT-2013-58
34-69822 Jun. 21, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Replacing References to "Principle Executive" With References to "Principal Executive" in the Exchange's Rules
Comments due: July 18, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-57
34-69881 Jun. 27, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 980NY to Modify the Information Disseminated at the Initiation of a Complex Order Auction
Comments due: July 24, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-55
34-69974 Jul. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Change the Monthly Fees for the Use of Certain Ports
Comments due: August 7, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-54
34-69827 Jun. 21, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Making a Non-Substantive, Technical Amendment to Exchange Rule 900.3NY(o) to Correct a Cross Reference to Exchange Rule 964NY
Comments due: July 18, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-53
34-69814 Jun. 20, 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 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, 2014
Comments due: July 18, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-52
34-69820 Jun. 21, 2013 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, 2014
Comments due: July 18, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-51
34-69812 Jun. 20, 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 January 31, 2014
Comments due: July 18, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-50
34-70210 Aug. 15, 2013 Order Granting Approval of Proposed Rule Change Relating to a Corporate Transaction in which NYSE Euronext Will Become a Wholly-Owned Subsidiary of IntercontinentalExchange Group, Inc.
Additional File Nos.: SR-NYSE-2013-42, SR-NYSEArca-2013-62
34-69849 Jun. 25, 2013 Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction in which Its Indirect Parent, NYSE Euronext, Will Become a Wholly Owned Subsidiary of IntercontinentalExchange Group, Inc.
Comments due: July 22, 2013
Additional Materials:  Exhibit 5A, Exhibit 5B, Exhibit 5C, Exhibit 5D, Exhibit 5E, Exhibit 5F, Exhibit 5G, Exhibit 5H, Exhibit 5I, Exhibit 5J, Exhibit 5K, Exhibit 5L, Exhibit 5M, Exhibit 5N, Exhibit 5O
SR-NYSEMKT-2013-49
34-69764 Jun. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing To Permit Traders Conducting Certain Futures and Options Trading On ICE Futures U.S. In Space Rented From The Exchange At 20 Broad Street To Access The IFUS Trading Floor Prior To 7 a.m. And On Days That The Exchange Is Closed Via The Exchange's 11 Wall Street Facilities And To Permit Additional IFUS Traders To Conduct Business On The IFUS Trading Floor
Comments due: July 11, 2013
SR-NYSEMKT-2013-48
34-69791 Jun. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to NYSE Amex Options Rule 960NY to Extend the Penny Pilot in Options Classes in Certain Issues Through December 31, 2013
Comments due: July 15, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-46
34-69696 Jun. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1000 - Equities to Revise the Manner by which the Exchange will Phase Out the Functionality Associated with Liquidity Replenishment Points in Connection with the Implementation of the Limit Up - Limit Down Plan
Comments due: July 1, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
SR-NYSEMKT-2013-45
34-69692 Jun. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Its Program That Allows Transactions To Take Place At A Price That Is Below $1 Per Option Contract Until January 5, 2014
Comments due: July 1, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-42
34-69673 May 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 980NY, to Remove Provisions Governing How the Complex Matching Engine Handles Electronic Complex Orders That Contain a Stock Leg
Comments due: June 26, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-40
34-69553 May 10, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Non-Display Usage Fees and Amending the Professional End-User Fees for NYSE Amex Options Market Data
Comments due: June 6, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
SR-NYSEMKT-2013-39
34-69489 May 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Amex Options Fee Schedule to Modify the Existing Floor Broker Rebate for Executed Qualified Contingent Cross Orders
Comments due: May 28, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-38
34-69488 May 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Options Fee Schedule for Firms to Increase the Transaction Fee for Certain Proprietary Electronic Executions and to Introduce Volume-Based Tiers for Certain Proprietary Electronic Executions
Comments due: May 28, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-37
34-69836 Jun. 24, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Listing Standard for Reverse Merger Companies
Comments due: July 19, 2013
SR-NYSEMKT-2013-36
34-69501 May 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 - Equities to Expand the Availability of Self-Trade Prevention Modifiers
Comments due: May 29, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
SR-NYSEMKT-2013-35
34-69524 May 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Schedule of the NYSE Amex Options Proprietary Market Data Fees
Comments due: May 31, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
SR-NYSEMKT-2013-34
34-69388 Apr. 17, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Members' Schedule of NYSE Amex Options LLC (the "Company") In Order To Reflect Changes To the Capital Structure of the Company
Comments due: May 14, 2013
Additional Materials:  Exhibit 5A and Exhibit 5B
SR-NYSEMKT-2013-33
34-69294 Apr. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 1000
Comments due: May 1, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-31
34-69300 Apr. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Certain Fees for the NYSE MKT Trades and NYSE MKT Realtime Reference Prices Market Data Products
Comments due: May 1, 2013
Comments received are available for this proposal.
SR-NYSEMKT-2013-32
34-69285 Apr. 3, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Certain Fees for NYSE MKT OpenBook, NYSE MKT Trades, and NYSE MKT BBO
Comments due: April 30, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
SR-NYSEMKT-2013-30
34-69273 Apr. 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Establish the NYSE MKT Trades Digital Media Data Feed and a Schedule of the NYSE MKT Equities Proprietary Market Data Fees
Comments due: April 29, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-29
34-69198 Mar. 20, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Definition of Complex Orders, Complex Trades and Stock/Options Orders to Accommodate the Trading of Option Contracts Overlying 10 Shares of a Security
Comments due: April 17, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-28
34-69255 Mar. 28, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Option Trading Rules to Extend the Operation of Its Pilot Program Regarding Minimum Value Sizes for Flexible Exchange Options Until March 31, 2014
Comments due: April 24, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-26
34-69174 Mar. 19, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Certain Rules to Accommodate the Trading of Option Contracts Overlying 10 Shares of Certain Securities
Comments due: April 15, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-25
34-71175 Dec. 23, 2013 Order Approving Proposed Rule Changes Amending NYSE Rule 104 and NYSE MKT Rule 104 - Equities, Each as Modified by an Amendment No. 1, to Codify Certain Traditional Trading Floor Functions that May Be Performed by Designated Market Makers, to Make Exchange Systems Available to DMMs that Would Provide DMMs with Certain Market Information, to Amend the Exchanges' Rules Governing the Ability of DMMs to Provide Market Information to Floor Brokers, and to Make Conforming Amendments to Other Rules
Additional File No.: SR-NYSE-2013-21
34-70713 Oct. 18, 2013 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Changes, as Modified by Amendment Nos. 1, Amending NYSE Rule 104 and NYSE MKT Rule 104 - Equities to Codify Certain Traditional Trading Floor Functions that May Be Performed by Designated Market Makers, to make Exchange Systems Available to DMMs That Would Provide DMMs with Certain Market Information, to Amend the Exchanges' Rules Governing the Ability of DMMs to Provide Market Information to Floor Brokers, and to Make Conforming Amendments to Other Rules
Additional File No.: SR-NYSE-2013-21
34-70047 Jul. 26, 2013 Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes Amending NYSE Rule 104 and NYSE MKT Rule 104- Equities, as Modified by Amendment Nos. 1, to Codify Certain Traditional Trading Floor Functions that may be Performed by Designated Market Makers, to make Exchange Systems Available to DMMs that would Provide DMMs with Certain Market Information, to Amend the Exchanges' Rules Governing the Ability of DMMs to Provide Market Information to Floor brokers, and to Make Conforming Amendments to Other Rules
Comments due: August 22, 2013
Rebuttal comments due: September 5, 2013
Additional File No.: SR-NYSE-2013-21
Comments received are available for this proposal.
34-69733 Jun. 11, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending NYSE MKT Rule 104 - Equities to Codify Certain Traditional Trading Floor Functions that may be Performed by Designated Market Makers, to make Exchange Systems Available to DMMs that would Provide DMMs with Certain Market Information, to Amend the Exchange's Rules Governing the Ability of DMMs to Provide Market Information to Floor brokers, and to Make Conforming Amendments to Other Rules
Comments received are available for this proposal.
34-69428 Apr. 23, 2013 Notice of Filing of Proposed Rule Change to amend NYSE MKT Rule 104 - Equities to Codify Certain Traditional Trading Floor Functions that may be Performed by Designated Market Makers to Make Exchange Systems Available to DMMs that would Provide DMMs with Certain Market Information, to Amend the Exchange's Rules Governing the Ability of DMMs to Provide Market Information to Floor Brokers, and to Make Conforming Amendments to Other Rules
Comments due: May 20, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
SR-NYSEMKT-2013-24
34-69247 Mar. 27, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Amex Options Fee Schedule to Establish Fees for Mini-Options Contracts
Comments due: April 23, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
SR-NYSEMKT-2013-23
34-69131 Mar. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to List and Trade Option Contracts Overlying 10 Shares of Certain Securities
Comments due: April 9, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-22
34-69104 Mar. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 107C-Equities to Clarify That a Retail Member Organization May Submit Retail Orders to the Retail Liquidity Program in a Riskless Principal Capacity as well as in an Agency Capacity
Comments due: April 5, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-21
34-69098 Mar. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 - Equities to Add Two Self-Trade Prevention Modifiers That May Be Used by Certain Market Participants
Comments due: April 5, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-17
34-69105 Mar. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to NYSE Amex Options Rule 960NY to Extend the Penny Pilot in Options Classes in Certain Issues Through June 30, 2013
Comments due: April 5, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-16
34-69081 Mar. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules Governing Order Format and System Entry Requirements
Comments due: April 4, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-14
34-68957 Feb. 20, 2013 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, March 29, 2013
Comments due: March 19, 2013
SR-NYSEMKT-2013-13
34-68997 Feb. 27, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relocating Certain Futures and Options Trading Conducted on ICE Futures U.S. From Rented Space at the New York Mercantile Exchange to the Exchange’s Facilities at 20 Broad Street and Amending Rule 6A - Equities, Which Defines the Terms “Trading Floor” and “NYSE Amex Options Trading Floor”
Comments due: March 26, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
SR-NYSEMKT-2013-12
34-69608 May 20, 2013 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Amending Rule 975NY In Part and Adding a New Section to Address Errors that Involve Complex Orders
Comments due: June 14, 2013
34-68926 Feb. 14, 2013 Notice of Filing of Proposed Rule Change Amending Rule 975NY In Part and Adding a New Section to Address Errors That Involve Complex Orders
Comments due: March 14, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-11
34-68801 Feb. 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 128 - Equities, which Governs Clearly Erroneous Executions, Extending the Effective Date of the Pilot Until September 30, 2013 and Adopting New Paragraph (i) to Rule 128-Equities in Connection with the Upcoming Operation of the Plan to Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS under the Act
Comments due: February 27, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-10
34-69339 Apr. 8, 2013 Order Approving, on an Accelerated Basis, Proposed Rule Change, as Modified by Amendment No. 1, Adopting Exchange Rule 953.1NY to Provide for How the Exchange Proposes to Treat Orders, Market-Making Quoting Obligations, and Errors in Response to the Regulation NMS Plan to Address Extraordinary Market Volatility; and Amending Exchange Rule 953NY to Codify that the Exchange Shall Halt Trading in All Options Overlying NMS Stocks When the Equities Markets Initiate a Market-Wide Trading Halt Due to Extraordinary Market Volatility
34-69033 Mar. 4, 2013 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Adopting Exchange Rule 953.1NY to Provide for How the Exchange Proposes to Treat Orders, Market-Making Quoting Obligations, and Errors in Response to the Regulation NMS Plan to Address Extraordinary Market Volatility; and Amending Exchange Rule 953NY to Codify that the Exchange Shall Halt Trading in All Options Overlying NMS Stocks When the Equities Markets Initiate a Market-Wide Trading Halt Due to Extraordinary Market Volatility
Comments due: March 29, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-08
34-68787 Jan. 31, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Delaying the Operative Date of A Rule Change to Exchange Rule 80B - Equities, Which Provides for Methodology for Determining When to Halt Trading in All Stocks Due to Extraordinary Market Volatility, From the Date of February 4, 2013, Until April 8, 2013
Comments due: February 27, 2013
SR-NYSEMKT-2013-07
34-69513 May 3, 2013 Order Granting Approval to Proposed Rule Changes Amending the Attestation Requirement of Rule 107C (NYSE) and 107C - Equities (NYSE MKT) To Allow a Retail Member Organization To Attest That "Substantially All" Orders Submitted To The Retail Liquidity Program Will Qualify As "Retail Orders"
34-69187 Mar. 20, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes Amending the Attestation Requirement of Rules 107C and 107C-Equities, Respectively, To Allow a Retail Member Organization To Attest That "Substantially All" Orders Submitted To The Retail Liquidity Program Will Qualify As "Retail Orders"
34-68746 Jan. 28, 2013 Notice of Filing of Proposed Rule Change Amending the Attestation Requirement of Rule 107C - Equities To Allow a Retail Member Organization To Attest That "Substantially All" Orders Submitted To The Retail Liquidity Program Will Qualify As "Retail Orders"
Comments due: February 25, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
SR-NYSEMKT-2013-06
34-68705 Jan. 22, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend 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, February 15, 2013
Comments due: February 19, 2013
SR-NYSEMKT-2013-05
34-68875 Feb. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 80C -Equities to Establish Rules to Comply with the Requirements of the Plan to Address Extraordinary Market Volatility Submitted to the Commission Pursuant to Rule 608 of Regulation NMS
Comments due: March 7, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-04
34-68744 Jan. 28, 2013 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, Extending the Effective Date of the Pilot Until the Earlier of the Initial Date of Operations of the Regulation NMS Plan to Address Extraordinary Market Volatility or February 4, 2014
Comments due: February 25, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-02
34-68710 Jan. 23, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 107C - Equities to Allow Retail Liquidity Providers to Enter Retail Price Improvement Orders in a Non-RLP Capacity for Securities to Which the RLP is Not Assigned
Comments due: February 19, 2013
Additional Materials:  Exhibit 5
SR-NYSEMKT-2013-01
34-68630 Jan. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List with Respect to Regulatory Fees Related to the Central Registration Depository, Which are Collected by the Financial Industry Regulatory Authority, Inc.
Comments due: February 7, 2013
Additional Materials:  Exhibit 5

 

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