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NYSE MKT LLC Rulemaking Archive: 2014
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 2014
Additional Archives
2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012
| Release No. |
Date |
Details |
| Fourth Quarter |
SR-NYSEMKT-2014-112 |
| 34-73969 |
Dec. 31, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposes to Amend NYSE MKT Rule 500 - Equities to Extend the Operation of the Pilot Program that Allows "UTP Securities" to be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges
Comments due: January 28, 2015
|
SR-NYSEMKT-2014-107 |
| 34-73964 |
Dec. 30, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Bylaws of the Exchange's Ultimate Parent Company, Intercontinental Exchange, Inc., to Designate its Chief Strategic Officer, Chief Technology Officer and General Counsel as "Senior Officers" of ICE
Comments due: January 27, 2015
Additional Materials: Exhibit 5A, Exhibit 5B
|
SR-NYSEMKT-2014-110 |
| 34-73947 |
Dec. 24, 2014 |
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 July 31, 2015
Comments due: January 23, 2015
|
SR-NYSEMKT-2014-109 |
| 34-73946 |
Dec. 24, 2014 |
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, 2015
Comments due: January 23, 2015
|
SR-NYSEMKT-2014-95 |
| 34-73913 |
Dec. 22, 2014 |
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Amending Rule 13 - Equities and Related Rules Governing Order Types and Modifiers, as modified by Partial Amendment No. 1
See also: 34-74643A; Notice: Rel. No. 34-74643, Order: Rel. No. 34-74298, Notice: Rel. No. 34-73593
|
SR-NYSEMKT-2014-102 |
| 34-73910 |
Dec. 22, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rules Regarding Trade Nullification and Price Adjustment
Comments due: January 20, 2015
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-101 |
| 34-73882 |
Dec. 18, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 342 - Equities to Remove the Three Years' Experience Requirement for Supervisory Personnel and to Add Supplementary Material to Rule 3110 - Equities Stating that Supervisors Must Reasonably Discharge their Supervisory Duties and Obligations
Comments due: January 14, 2015
|
SR-NYSEMKT-2014-14 |
| 34-73858 |
Dec. 17, 2014 |
Order Approving a Proposed Rule Change Amending Exchange Rule 967NY to Enhance the Functionality of the Trade Collar Protection Mechanism
See also: Notice: Rel. No. 34-73542
|
SR-NYSEMKT-2014-106 |
| 34-73847 |
Dec. 16, 2014 |
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: January 12, 2015
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-100 |
| 34-73829 |
Dec. 12, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 900.3NY(k) to Disallow Market Orders from Being Eligible for Designation as An Immediate-or-Cancel Order
Comments due: January 8, 2015
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-81 |
| 34-73817 |
Dec. 11, 2014 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Amending Rule 902.1NY to Authorize the Exchange to Share Any User-Designated Risk Settings in Exchange Systems with the Clearing Member that Clears Transactions on Behalf of the User
Comments due: January 7, 2015
See also: Notice: Rel. No. 34-73669, Notice: Rel. No. 34-73280
|
SR-NYSEMKT-2014-98 |
| 34-73794 |
Dec. 9, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule to Amend the Application of Routing Surcharge Fees
Comments due: January 5, 2015
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-99 |
| 34-73778 |
Dec. 8, 2014 |
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 June 30, 2015
Comments due: January 2, 2015
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-83 |
| 34-73740 |
Dec. 4, 2014 |
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, in Connection with the Proposed Termination of the Amended and Restated Trust Agreement, dated as of November 13, 2013 and Amended on June 2, 2014 By and Among NYSE Holdings LLC, a Delaware Limited Liability Company, NYSE Group, Inc., a Delaware Corporation, Wilmington Trust Company, as Delaware Trustee, and Each of Jacques de Larosière de Champfeu, Alan Trager and John Shepard Reed, as Trustees
Additional File Nos.: SR-NYSE-2014-53, SR-NYSEArca-
2014-112
See also: Notice: Rel. No. 34-73372
|
SR-NYSEMKT-2014-86 |
| 34-73718 |
Dec. 2, 2014 |
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Remove the Exchange's Quote Mitigation Plan as Provided by Rule 970.1NY
See also: Order: Rel. No. 34-75190; Notice: Rel. No. 34-74087; Notice: Rel. No. 34-73367
|
SR-NYSEMKT-2014-97 |
| 34-73671 |
Nov. 21, 2014 |
Notice of Filing of Proposed Rule Change Amending Rules 311 - Equities and 313 - Equities to Add Limited Liability Companies as Eligible Member Organizations and Delineate the Information Limited Liability Companies Must Submit to the Exchange as Part of the Membership Process; Eliminate the Requirement that a Member Corporation Be Created or Organized, and Maintain its Principal Place of Business, in the United States; and Make Additional Related Amendments to Update Its Membership Rules
Comments due: December 19, 2014
See also: Order: Rel. No. 34-74036
Comments received are available for this proposal.
|
SR-NYSEMKT-2014-81 |
| 34-73669 |
Nov. 21, 2014 |
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Amending Rule 902.1NY to Authorize the Exchange to Share Any User-Designated Risk Settings in Exchange Systems with the Clearing Member that Clears Transactions on Behalf of the User
See also: Notice: Rel. No. 34-73817, Notice: Rel. No. 34-73280
|
SR-NYSEMKT-2014-93 |
| 34-73640 |
Nov. 19, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Rules Concerning Supervision to Harmonize the Rules with Certain Financial Industry Regulatory Authority, Inc. Rules and Making Other Conforming Changes
Comments due: December 16, 2014
|
SR-NYSEMKT-2014-96 |
| 34-73620 |
Nov. 18, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the NYSE MKT LLC Equities Proprietary Market Data Fee Schedule ("Market Data Fee Schedule") Regarding Non-Display Use Fees
Comments due: December 15, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-95 |
| 34-73593 |
Nov. 14, 2014 |
Notice of Filing of Proposed Rule Change Amending Rule 13 - Equities and Related Rules Governing Order Types and Modifiers to Clarify the Nature of Order Types
Comments due: December 11, 2014
Additional Materials: Exhibit 5
See also: 34-74643A; Notice: Rel. No. 34-74643, Order: Rel. No. 34-74298, Notice: Rel. No. 34-73913
Comments received are available for this proposal.
|
SR-NYSEMKT-2014-94 |
| 34-73589 |
Nov. 13, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Fees for the NYSE ArcaBook for Amex Options Complex Feed and a Change to the NYSE Amex Options Proprietary Market Data Fee Schedule ("Market Data Fee Schedule") Regarding Non-Display Use Fees
Comments due: December 10, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-14 |
| 34-73544 |
Nov. 6, 2014 |
Notice of Filing of Proposed Rule Change Amending Rule 967NY to Enhance the Functionality of the Trade Collar Protection Mechanism
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-87 |
| 34-73542 |
Nov. 6, 2014 |
Notice of Filing of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule to Add a Service Fee for Certain Post Trade Adjustments Performed by the Exchange to be Effective December 1, 2014
Comments due: December 4, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-92 |
| 34-73490 |
Oct. 31, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule to Modify the Fees Related to the Use of ports that Provide Connectivity to the Exchange's Trading Systems for Entry of Orders and/or Quotes
Comments due: November 28, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-NYSEMKT-2014-83 |
| 34-73372 |
Oct. 16, 2014 |
Notice of Filing of Proposed Rule Change in Connection with the Proposed Termination of the Amended and Restated Trust Agreement, dated as of November 13, 2013 and Amended on June 2, 2014 by and Among NYSE Holdings LLC, a Delaware Limited Liability Company, NYSE Group, Inc., a Delaware Corporation, Wilmington Trust Company, as Delaware Trustee, and each of Jacques de Larosière de Champfeu, Alan Trager and John Shepard Reed, as Trustees
Comments due: November 12, 2014
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-73740
Comments received are available for this proposal.
|
SR-NYSEMKT-2014-86 |
| 34-73367 |
Oct. 15, 2014 |
Notice of Filing of Proposed Rule Change Modifying Its Quote Mitigation Plan and Amending Rule 970NY and Rule 970.1NY
Comments due: November 12, 2014
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-75190; Notice: Rel. No. 34-74087; Notice: Rel. No. 34-73718
Comments received are available for this proposal.
|
SR-NYSEMKT-2014-89 |
| 34-73353 |
Oct. 15, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Amend Certain of its Rules to Remove and Replace Obsolete References to Fixed Return Options with the Updated References to Binary Return Derivatives Contracts.
Comments due: November 12, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-77 |
| 34-73351 |
Oct. 15, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 15 - Equities to Specify that Exchange Systems Can Publish Pre-Opening Indications and To Extend the Time Order Imbalance Information is Disseminated When An Opening is Delayed
Comments due: November 12, 2014
|
SR-NYSEMKT-2014-88 |
| 34-73346 |
Oct. 14, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Conforming Amendments to Reflect Recent Deletion of Rule 343 - Equities
Comments due: November 10, 2014
|
SR-NYSEMKT-2014-56 |
| 34-73333 |
Oct. 9, 2014 |
Order Approving Proposed Rule Changes Amending Exchange Rule 13 to Make the Add Liquidity Only Modifier Available for Limit Orders, and Make the Day Time-In-Force Condition and Add Liquidity Only Modifier Available for Intermarket Sweep Orders
Additional File No.: SR-NYSE-2014-32
See also: Notice: Rel. No. 34-72894, Notice: Rel. No. 34-72547
|
SR-NYSEMKT-2014-85 |
| 34-73302 |
Oct. 6, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change that Constitutes a Stated Interpretation with Respect to The Meaning, Administration, and Enforcement of Rule 46 - Equities
Comments due: October 31, 2014
|
SR-NYSEMKT-2014-84 |
| 34-73284 |
Oct. 1, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 900.2NY to Codify the Terms Complex BBO and Complex NBBO and To Amend Exchange Rule 900.3NY(w) to Revise the Definition of a PNP Plus Order
Comments due: October 28, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-81 |
| 34-73280 |
Oct. 1, 2014 |
Notice of Filing of Proposed Rule Change Amending Rule 902.1NY to Authorize the Exchange to Share Any User-Designated Risk Settings in Exchange Systems with the Clearing Member that Clears Transactions on Behalf of the User
Comments due: October 28, 2014
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-73817, Notice: Rel. No. 34-73669
Comments received are available for this proposal.
|
| Third Quarter |
SR-NYSEMKT-2014-82 |
| 34-73255 |
Sep. 30, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 900.3NY (Orders Defined) to Delete WAIT Orders from its Rules
Comments due: October 27, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-79 |
| 34-73218 |
Sep. 25, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 141 and 142 of the NYSE MKT Company Guide To Increase Certain of the Fees Set Forth Therein
Comments due: October 22, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-78 |
| 34-73159 |
Sep. 22, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Commentary .01 to Rule 341 to Specify the Registration and Examination Requirements for Certain Persons Engaged in Supervisory Activities
Comments due: October 17, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-63 |
| 34-73095 |
Sep. 15, 2014 |
Order Approving Proposed Rule Change Removing Building Access and Other Restrictions on Traders Conducting Certain Futures and Options Trading on ICE Futures U.S., Inc. in Space Rented from the Exchange
See also: Notice: Rel. No. 34-72680
|
SR-NYSEMKT-2014-75 |
| 34-73029 |
Sep. 9, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 49 - Equities, Which Addresses the Exchange's Emergency Powers Revising How Certain Messages are Disseminated
Comments due: October 6, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-76 |
| 34-73024 |
Sep. 9, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 967NY(b) to Enhance the Functionality of the Limit Order Filter
Comments due: October 6, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-72 |
| 34-73020 |
Sep. 9, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fees for Non-Display Use of NYSE MKT OpenBook, NYSE MKT Trades, and NYSE MKT BBO, and to Establish Fees for Non-Display Use of NYSE MKT Order Imbalances
Comments due: October 6, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-74 |
| 34-73019 |
Sep. 9, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List to Adjust the Pricing Related to the Retail Liquidity Program under Rule 107C - Equities
Comments due: October 6, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-73 |
| 34-73008 |
Sep. 5, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fees for Non-Display Use of NYSE Amex Options Market Data
Comments due: October 2, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-71 |
| 34-72972 |
Sep. 3, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE MKT Equities Price List and, through NYSE Amex Options LLC Amending the NYSE Amex Options Fee Schedule to Establish Billing Practices with Respect to Billing Disputes
Comments due: September 30, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-56 |
| 34-72894 |
Aug. 21, 2014 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Rule 13 - Equities to Make the Add Liquidity Only Modifier Available for Additional Limit Orders and Make the Day Time-In-Force Condition Available for Intermarket Sweep Orders
See also: Order: Rel. No. 34-73333, Notice: Rel. No. 34-72547
|
SR-NYSEMKT-2014-70 |
| 34-72891 |
Aug. 21, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules Governing the Short-Term Option Series Program to Introduce Finer Strike Price Intervals for Related Non-Short Term Options
Comments due: September 17, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-69 |
| 34-72890 |
Aug. 21, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 86 - Equities to Extend the Hours for the Core Bond Trading Session for NYSE MKT Bonds
Comments due: September 17, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-67 |
| 34-72865 |
Aug. 19, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Amex Options Fee Schedule
Comments due: September 15, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-68 |
| 34-72857 |
Aug. 18, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 332 of the NYSE MKT Company Guide to Provide that Listed Companies Should Pay Listing Fees Due in Connection with the Listing of Additional Securities in the Manner Specified in the Exchange's Invoice
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-65 |
| 34-72815 |
Aug. 12, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 935NY and Rule 964NY to Delete Obsolete References to Tracking Orders and Make Other Non-Substantive, Technical Changes to the Exchange Rules
Comments due: September 8, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-66 |
| 34-72790 |
Aug. 7, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Amex Options Fee Schedule in a Number of Different Ways
Comments due: September 3, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-NYSEMKT-2014-61 |
| 34-72719 |
Jul. 30, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule, Related to Co-location Services
Comments due: August 26, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-62 |
| 34-72709 |
Jul. 29, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Clarifying the Exchange's Use of Certain Data Feeds for Order Handling and Execution, Order Routing, and Regulatory Compliance
Comments due: August 26, 2014
Comments received are available for this proposal.
|
SR-NYSEMKT-2014-63 |
| 34-72680 |
Jul. 28, 2014 |
Notice of Filing of Proposed Rule Change Removing Building Access and Other Restrictions on Traders Conducting Certain Futures and Options Trading on ICE Futures U.S., Inc. in Space Rented from the Exchange
Comments due: August 22, 2014
See also: Order: Rel. No. 34-73095
|
SR-NYSEMKT-2014-60 |
| 34-72625 |
Jul. 16, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program until March 31, 2015
Comments due: August 12, 2014
Comments received are available for this proposal.
|
SR-NYSEMKT-2014-59 |
| 34-72624 |
Jul. 16, 2014 |
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 "UTP 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 December 31, 2014
Comments due: August 12, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-58 |
| 34-72623 |
Jul. 16, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot Currently Scheduled to Expire on July 31, 2014, Until the Earlier of the Securities and Exchange Commission's Approval to Make Such Pilot Permanent or December 31, 2014
Comments due: August 12, 2014
|
SR-NYSEMKT-2014-57 |
| 34-72622 |
Jul. 16, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its New Market Model Pilot, Currently Scheduled to Expire on July 31, 2014, Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or December 31, 2014
Comments due: August 12, 2014
|
SR-NYSEMKT-2014-55 |
| 34-72574 |
Jul. 9, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule in a Number of Different Ways
Comments due: August 5, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-54 |
| 34-72573 |
Jul. 9, 2014 |
Notice of Filing and Immediate Effectiveness 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 5, 2014
Additional Materials: Exhibit 5A; Exhibit 5B
|
SR-NYSEMKT-2014-56 |
| 34-72547 |
Jul. 7, 2014 |
Notice of Filing of Proposed Rule Change Amending Rule 13 - Equities to Make the Add Liquidity Only Modifier Available for Additional Limit Orders and Make the Day Time-In-Force Condition Available for Intermarket Sweep Orders
Comments due: August 1, 2014
See also: Order: Rel. No. 34-73333, Notice: Rel. No. 34-72894
Comments received are available for this proposal.
|
SR-NYSEMKT-2014-21 |
| 34-72536 |
Jul. 3, 2014 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, to Make Permanent Its Pilot Program Regarding Minimum Value Sizes for Opening Transactions in New Series of Flexible Exchange Options and Establish New Minimum Value Sizes Applicable to Other FLEX Transactions and FLEX Quot
Comments due: July 31, 2014
See also: Notice: Rel. No. 34-71840-->
Comments received are available for this proposal.
|
SR-NYSEMKT-2014-22 |
| 34-72535 |
Jul. 3, 2014 |
Order Approving Proposed Rule Change Amending Rule 98 to Adopt a Principles-based Approach to Prohibit the Misuse of Material Nonpublic Information and Make Conforming Changes to Other Exchange Rules
See also: Notice: Rel. No. 34-72202, Notice: Rel. No. 34-71838
|
SR-NYSEMKT-2013-91 |
| 34-72512 |
Jul. 1, 2014 |
Notice of Withdrawal of Proposed Rule Changes to Establish an Institutional Liquidity Program on a One-Year Pilot Basis
Additional File No.: SR-NYSE-2013-72
See also: Notice: Rel. No. 34-72205, Notice: Rel. No. 34-71609, Notice: Rel. No. 34-71267, Notice: Rel. No. 34-70909
|
SR-NYSEMKT-2014-53 |
| 34-72510 |
Jul. 1, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Price List to Add Certain charges for Hosting Equipment to Support Internet Connections for Member Organizations Operating on the Floor of the Exchange Starting January 1, 2015
Comments due: July 29, 2014
Additional Materials: Exhibit 5
|
| Second Quarter |
SR-NYSEMKT-2014-52 |
| 34-72469 |
Jun. 25, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule by Adopting Fees and Rebates for a New Electronic Crossing Mechanism Called the CUBE Auction
Comments due: July 22, 2014
Comments received are available for this proposal.
|
SR-NYSEMKT-2014-37 |
| 34-72434 |
Jun. 19, 2014 |
Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Executions
Additional File Nos.: SR-BATS-2014-014, SR-BX-2014-021, SR-BYX-2014-007, SR-CHX-2014-06, SR-EDGA-2014-11, SR-EDGX-2014-12, SR-FINRA-2014-021, SR-ISE-2014-25, SR-NASDAQ-2014-044, SR-NSX-2014-08, SR-NYSE-2014-22, SR-NYSEArca-2014-48, SR-Phlx-2014-27
See also: Notice: Rel. No. 34-72051
|
SR-NYSEMKT-2014-51 |
| 34-72389 |
Jun. 13, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 971.1NY(c)(4)(D) to Add Specificity Regarding When a Customer Best Execution Auction Would Conclude Early
Comments due: July 10, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-50 |
| 34-72343 |
Jun. 6, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule
Comments due: July 3, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-49 |
| 34-72326 |
Jun. 5, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE MKT BBO Market Data Product Offering
Comments due: July 2, 2014
|
SR-NYSEMKT-2014-48 |
| 34-72313 |
Jun. 4, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 900.3NY(d)(3) in Order to Delete Reserve Orders and References thereto From the Rules
Comments due: July 1, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-46 |
| 34-72252 |
May 27, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 13 - Equities to Introduce a New "Retail" Modifier for Orders and to Make Related, Administrative Changes to Its Price List
Comments due: June 23, 2014
Additional Materials: Exhibit 5
|
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
See also: Notice: Rel. No. 34-71609, Notice: Rel. No. 34-71267, Notice: Rel. No. 34-70910
|
SR-NYSEMKT-2014-22 |
| 34-72202 |
May 21, 2014 |
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend Rule 98 to Adopt a Principles-based Approach to Prohibit the Misuse of Material Nonpublic Information and Make Conforming Changes to Other Exchange Rules
See also: Order: Rel. No. 34-72535, Notice: Rel. No. 34-71838
|
SR-NYSEMKT-2014-45 |
| 34-72194 |
May 20, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 975NY to Provide for New Procedures to Account for Erroneous Trades Occurring from Disruptions and/or Malfunctions of Exchange Systems
Comments due: June 17, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-47 |
| 34-72190 |
May 20, 2014 |
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 December 31, 2014
Comments due: June 17, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-41 |
| 34-72156 |
May 13, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Name Changes of Its Ultimate Parent, IntercontinentalExchange Group, Inc., and Its Indirect Parents, IntercontinentalExchange, Inc. and NYSE Euronext Holdings LLC
Comments due: June 9, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-43 |
| 34-72148 |
May 12, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Account for Recent Changes to the Securities Eligible to be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges
Comments due: June 6, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-42 |
| 34-72084 |
May 2, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 980NY to Adopt Rules Governing an Opening Auction Process for Electronic Complex Orders and to Amend and Reorganize Existing Rules Specifying Available Electronic Complex Order Types and Modifiers
Comments due: May 29, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-40 |
| 34-72075 |
May 1, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Offering ArcaBook for Amex Options - Complex on a Standalone Basis Without Charge from May 1, 2014 through October 31, 2014
Comments due: May 28, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-37 |
| 34-72051 |
Apr. 30, 2014 |
Notice of Filing of Proposed Rule Change Adding New Paragraphs (j) and (k) to Rule 128 - Equities, Entitled "Clearly Erroneous Executions For Equities" 1 2 Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the "Act") and 3Rule 19b-4 thereunder, notice is hereby given that, on April 21, 2014, NYSE MKT LLC (the "Exchange" or "NYSE MKT") filed with the Securities and Exchange Commission (the "Commission") the proposed rule change as described in Items I, II, and III below, which Items have been prepared by the self-regulatory organization. The Commission is publishing this notice to solicit comments on the proposed rule change from interested person
Comments due: May 27, 2014
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-72434
|
SR-NYSEMKT-2014-39 |
| 34-72040 |
Apr. 29, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .01 to Rule 901 to Replace the Reference to "GOOG" with "GOOGL"
Comments due: May 27, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-33 |
| 34-72017 |
Apr. 25, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange rules governing Letters of Guarantee and Letters of Authorization
Comments due: May 22, 2014
|
SR-NYSEMKT-2014-17 |
| 34-72025 |
Apr. 25, 2014 |
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, Adopting Rule 971.1NY for an Electronic Price Improvement Auction for Single-Leg Options Orde
Comments due: May 22, 2014
See also: Notice: Rel. No. 34-71655-->
Comments received are available for this proposal.
|
SR-NYSEMKT-2014-34 |
| 34-71988 |
Apr. 22, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE MKT Rule 343 - Equities to Harmonize the NYSE MKT's Rules with Changes by Financial Industry Regulatory Authority, Inc. to Amend the Uniform Branch Office Registration Form
Comments due: May 19, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-35 |
| 34-71966 |
Apr. 17, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 900.3NY (Orders Defined) to Remove the Size Restriction on Contra-Party Participation on a Qualified Contingent Cross Order
Comments due: May 14, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-06 |
| 34-71957 |
Apr. 16, 2014 |
Order Granting Approval of a Proposed Rule Change Amending Section 17, which are Rules Applicable to Securities known as Fixed Return Options, to Reflect a Name Change to Binary Return Derivatives, a Change to the Calculation of the Settlement Price, Updating Rule References, Adding New Text for ByRDs Series Available for Trading, Amending the Quoting and Trading Increment Applicable to ByRDs, and Adding a New Paragraph 8 to Rule 975NY(a) and Amending Rule 975NY(d)(1) to Address Obvious Errors in ByRDs
See also: Notice: Rel. No. 34-71613
|
SR-NYSEMKT-2014-32 |
| 34-71952 |
Apr. 16, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposes to Amend Certain of its NYSE MKT Equities Rule Series (500 through 525) to Permit Additional Securities to be Admitted to Dealings on the Exchange Pursuant to a Grant of Unlisted Trading Privileges
Comments due: May 13, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-31 |
| 34-71870 |
Apr. 4, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Applicable to Rule 953.1NY(c), Which Addresses How the Exchange Treats Obvious and Catastrophic Errors During Periods of Extreme Market Volatility, until February 20, 2015
Comments due: April 30, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-30 |
| 34-71934 |
Apr. 11, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Professional User Fees for NYSE Amex Options Market Data, Operative on April 1, 2014
Comments due: May 8, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-29 |
| 34-71889 |
Apr. 7, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List for Certain Executions at the Opening
Comments due: May 2, 2014
Additional Materials: Exhibit 5
|
| Second Quarter |
SR-NYSEMKT-2014-28 |
| 34-71820 |
Mar. 27, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending a Pilot Program Related to Rule 128 - Equities, Entitled "Clearly Erroneous Executions For Equities"
Comments due: April 23, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-27 |
| 34-71898 |
Apr. 8, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 - Equities Governing Pegging Interest
Comments due: May 5, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-26 |
|
34-71844 |
Apr. 1, 2014 |
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 Opening Transactions in New Series of Flexible Exchange Options
Comments due: April 28, 2014
Additional Materials:
Exhibit 5
|
SR-NYSEMKT-2014-21 |
|
34-71840 |
Apr. 1, 2014 |
Notice of Filing of Proposed Rule Change to Make Permanent Its Pilot Program Regarding Minimum Value Sizes for Opening Transactions in Flexible Exchange Options and Establish New Minimum Value Sizes Applicable to Other FLEX Transactions and FLEX Quotes
Comments due: April 28, 2014
Additional Materials: Exhibit 5
See also:
Notice/Order: Rel. No. 34-72536
Comments received
are available
for this proposal.
|
SR-NYSEMKT-2014-22 |
|
34-71838 |
Apr. 1, 2014 |
Notice of Filing of Proposed Rule Change Amending Rule 98 - Equities to Adopt a Principles-based Approach to Prohibit the Misuse of Material Nonpublic Information and Make Conforming Changes to Other Exchange Rules
Comments due: April 28, 2014
Additional Materials:
Exhibit 5
See also: Order: Rel. No. 34-72535, Notice: Rel. No. 34-72202
|
| First Quarter |
SR-NYSEMKT-2014-28 |
|
34-71820 |
Mar. 27, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending a Pilot Program Related to Rule 128 - Equities, Entitled "Clearly Erroneous Executions For Equities"
Comments due: April 23, 2014
Additional Materials:
Exhibit 5
|
SR-NYSEMKT-2014-23 |
|
34-71817 |
Mar. 27, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 900.3NY to Specifically Address the Number and Size of Contra-Parties to a Qualified Contingent Cross Order
Comments due: April 23, 2014
Additional Materials:
Exhibit 5
|
SR-NYSEMKT-2014-20 |
|
34-71749 |
Mar. 19, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Expanding the Short-Term Option Series Program
Comments due: April 15, 2014
Additional Materials:
Exhibit 5
|
SR-NYSEMKT-2014-19 |
|
34-71730 |
Mar. 18, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Specify Pricing Applicable to Executions of Mid-Point Passive Liquidity Orders Against Retail Orders Within the Retail Liquidity Program
Comments due: April 14, 2014
Additional Materials:
Exhibit 5
|
SR-NYSEMKT-2014-08 |
|
34-71728 |
Mar. 14, 2014 |
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Amending Various Sections of Both the Limited Liability Company Agreement of NYSE Amex Options LLC Dated as of June 29, 2011 and the Members Agreement Dated as of June 29, 2011 By and Among the Company, NYSE MKT, NYSE Euronext, Banc of America Strategic Investments Corporation, Barclays Electronic Commerce Holdings Inc., Citadel Securities LLC, Citigroup Financial Strategies, Inc., Goldman, Sachs & Co., Datek Online Management Corp. and UBS Americas Inc. In Order to Make Certain Technical Changes Within the Aforementioned Agreements
See also:
Notice: Rel. No. 34-71408
|
SR-NYSEMKT-2014-10 |
|
34-71721 |
Mar. 13, 2014 |
Order Granting Approval of Proposed Rule Change Relating to a Corporate Action in which Its Indirect Parent, NYSE Euronext Holdings LLC, Will Become a Wholly-Owned Subsidiary of IntercontinentalExchange, Inc.
Additional File Nos.: SR-NYSE-2014-04, SR-NYSEArca-2014-08
See also:
Notice: Rel. No. 34-71395
|
SR-NYSEMKT-2014-17 |
|
34-71655 |
Mar. 5, 2014 |
Notice of Filing of Proposed Rule Change Adopting Rule 971.1NY for An Electronic Price Improvement Auction for Single-Leg Orders
Comments due: April 1, 2014
Additional Materials:
Exhibit 5
See also:
Notice/Order: Rel. No. 34-72025-->
Comments received
are available
for this proposal.
|
SR-NYSEMKT-2014-05 |
|
34-71630 |
Feb. 27, 2014 |
Order Granting Approval of Proposed Rule Change Amending Its Rules in Order to Clarify the Applicability and Functionality of Certain Order Types on the Exchange
See also:
Notice: Rel. No. 34-71294
|
SR-NYSEMKT-2013-91 |
|
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
Rebuttal comments due: April 7, 2014
Additional File No.: SR-NYSE-2013-72
See also: Notice: Rel. No. 34-72205, Notice: Rel. No. 34-71267,
Notice: Rel. No. 34-70910
|
SR-NYSEMKT-2014-06 |
|
34-71613 |
Feb. 25, 2014 |
Notice of Filing of Proposed Rule Change Amending Section 17, which are Rules Applicable to Securities known as Fixed Return Options, to Reflect a Name Change to Binary Return Derivatives, a Change to the Calculation of the Settlement Price, Updating Rule References, Adding New Text for ByRDs Series Available for Trading, Amending the Quoting and Trading Increment Applicable to ByRDs, and Adding a New Paragraph 8 to Rule 975NY(a) and Amending Rule 975NY(b)(1) to Address Obvious Errors in ByRDs
Comments due: March 24, 2014
Additional Materials:
Exhibit 5
See also: Order: Rel. No. 34-71957
|
SR-NYSEMKT-2014-12 |
|
34-71532 |
Feb. 12, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule by Adopting a Market Access and Connectivity Subsidy
Comments due: March 12, 2014
Additional Materials:
Exhibit 5
|
SR-NYSEMKT-2014-16 |
|
34-71531 |
Feb. 12, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule in A Number of Different Ways
Comments due: March 12, 2014
Additional Materials:
Exhibit 5
|
SR-NYSEMKT-2014-15 |
|
34-71487 |
Feb. 5, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 - Equities to Modify The Manner By Which MPL-ALO Orders Trade When Triggered By Arriving Interest
Comments due: March 4, 2014
Additional Materials:
Exhibit 5
|
SR-NYSEMKT-2014-13 |
|
34-71453 |
Jan. 31, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Increase the Fee for Executions in New York Stock Exchange Crossing Session II
Comments due: February 27, 2014
|
SR-NYSEMKT-2014-11 |
|
34-71451 |
Jan. 31, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Introduce Fees and Credits for A New Order Type Called a Midpoint Passive Liquidity Order
Comments due: February 27, 2014
Additional Materials:
Exhibit 5
|
SR-NYSEMKT-2014-09 |
|
34-71410 |
Jan. 27, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase Its Options Regulatory Fee
Comments due: February 21, 2014
Additional Materials:
Exhibit 5
|
SR-NYSEMKT-2014-08 |
|
34-71408 |
Jan. 27, 2014 |
Notice of Filing of Proposed Rule Change Amending Various Sections of Both the Limited Liability Company Agreement of NYSE Amex Options LLC Dated as of June 29, 2011 and the Members Agreement Dated as of June 29, 2011 By and Among the Company, NYSE MKT, NYSE Euronext, Banc of America Strategic Investments Corporation, Barclays Electronic Commerce Holdings Inc., Citadel Securities LLC, Citigroup Financial Strategies, Inc., Goldman, Sachs & Co., Datek Online Management Corp. and UBS Americas Inc. In Order to Make Certain Technical Changes Within the Aforementioned Agreements
Comments due: February 21, 2014
Additional Materials:
Exhibit 5A,
Exhibit 5B,
and
Exhibit 5C
See also:
Order: Rel. No. 34-71728 |
SR-NYSEMKT-2014-10 |
|
34-71395 |
Jan. 24, 2014 |
Notice of Filing of Proposed Rule Change Relating to a Corporate Action in which Its Indirect Parent, NYSE Euronext Holdings LLC, Will Become a Wholly Owned Subsidiary of IntercontinentalExchange, Inc.
Comments due: February 20, 2014
Additional Materials:
Exhibit 5A,
Exhibit 5B,
Exhibit 5C,
Exhibit 5D1,
Exhibit 5D2,
Exhibit 5E,
and
Exhibit 5F
See also:
Order: Rel. No. 34-71721
|
SR-NYSEMKT-2014-01 |
|
34-71363 |
Jan. 21, 2014 |
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 a Permanent Approval or July 31, 2014
Comments due: February 18, 2014
Additional Materials:
Exhibit 5
|
SR-NYSEMKT-2014-03 |
|
34-71361 |
Jan. 21, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Extend the Operation of its Supplemental Liquidity Providers Pilot, Currently Scheduled to Expire on January 31, 2014, Until the Earlier of the Securities and Exchange Commission's Approval to Make Such Pilot Permanent or July 31, 2014
Comments due: February 18, 2014
Additional Materials:
Exhibit 5
|
SR-NYSEMKT-2014-02 |
|
34-71342 |
Jan. 17, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Extend 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, 2014
Comments due: February 14, 2014
|
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
See also:
Notice: Rel. No. 34-70955
|
SR-NYSEMKT-2014-05 |
|
34-71294 |
Jan. 14, 2014 |
Notice of Filing of Proposed Rule Change Amending its Rules in Order to Clarify the Applicability and Functionality of Certain Order Types on the Exchange
Comments due: February 11, 2014
Additional Materials:
Exhibit 5
See also:
Notice: Rel. No. 34-71630
|
SR-NYSEMKT-2014-04 |
|
34-71275 |
Jan. 9, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule for Firms to Increase the Transaction Fee for Certain Proprietary Electronic Executions of Standard Option Contracts that Fall Within the First of the Volume-Based Tiers for Certain Proprietary Electronic Executions of Standard Option Contracts
Comments due: February 5, 2014
Additional Materials:
Exhibit 5
|
SR-NYSEMKT-2013-91 |
|
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
See also: Notice: Rel. No. 34-72205, Notice: Rel. No. 34-71609, Notice: Rel. No. 34-70910
|
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-2013-107 |
|
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-2013-86 |
|
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
See also:
Notice: Rel. No. 34-71183,
Notice: Rel. No. 34-70816
|
| NYSEMKT File Number List for 2014 |
| Release No. |
Date |
Details |
SR-NYSEMKT-2014-117 |
| 34-73976 |
Jan. 2, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Its Program that Allows Transactions To Take Place at a Price that is Below $1 Per Option Contract until January 5, 2016
Comments due: January 29, 2015
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-116 |
| 34-74440 |
Mar. 4, 2015 |
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule 967NY and to Adopt Rule 967.1NY to Provide Price Protection for Market Maker Quotes
|
| 34-74017 |
Jan. 8, 2015 |
Notice of Filing of Proposed Rule Change to Amend Rule 967NY and to Adopt Rule 967.1NY to Provide Price Protection for Market Maker Quotes
Comments due: February 4, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-NYSEMKT-2014-115 |
| 34-73987 |
Jan. 5, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE MKT OpenBook MKT Order Imbalances
Comments due: January 30, 2015
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-114 |
| 34-73995 |
Jan. 6, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE MKT Order Imbalances
Comments due: February 2, 2015
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-113 |
| 34-73986 |
Jan. 5, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE MKT BBO and NYSE MKT Trades
Comments due: January 30, 2015
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-112 |
| 34-73969 |
Dec. 31, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposes to Amend NYSE MKT Rule 500 - Equities to Extend the Operation of the Pilot Program that Allows "UTP Securities" to be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges
Comments due: January 28, 2015
|
SR-NYSEMKT-2014-110 |
| 34-73947 |
Dec. 24, 2014 |
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 July 31, 2015
Comments due: January 23, 2015
|
SR-NYSEMKT-2014-109 |
| 34-73946 |
Dec. 24, 2014 |
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, 2015
Comments due: January 23, 2015
|
SR-NYSEMKT-2014-108 |
| 34-73991 |
Jan. 6, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List to Eliminate Transaction Fees for Midpoint Passive Liquidity Orders that Remove Liquidity from the Exchange and that Are Designated with a "Retail" Modifier as Defined in Rule 13 - Equities
Comments due: February 2, 2015
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-107 |
| 34-73964 |
Dec. 30, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Bylaws of the Exchange's Ultimate Parent Company, Intercontinental Exchange, Inc., to Designate its Chief Strategic Officer, Chief Technology Officer and General Counsel as "Senior Officers" of ICE
Comments due: January 23, 2015
Additional Materials: Exhibit 5A, Exhibit 5B
|
SR-NYSEMKT-2014-106 |
| 34-73847 |
Dec. 16, 2014 |
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: January 12, 2015
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-102 |
| 34-73910 |
Dec. 22, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rules Regarding Trade Nullification and Price Adjustment
Comments due: January 20, 2015
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-101 |
| 34-73882 |
Dec. 18, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 342 - Equities to Remove the Three Years' Experience Requirement for Supervisory Personnel and to Add Supplementary Material to Rule 3110 - Equities Stating that Supervisors Must Reasonably Discharge their Supervisory Duties and Obligations
Comments due: January 14, 2015
|
SR-NYSEMKT-2014-100 |
| 34-73829 |
Dec. 12, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 900.3NY(k) to Disallow Market Orders from Being Eligible for Designation as An Immediate-or-Cancel Order
Comments due: January 8, 2015
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-99 |
| 34-73778 |
Dec. 8, 2014 |
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 June 30, 2015
Comments due: January 2, 2015
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-98 |
| 34-73794 |
Dec. 9, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule to Amend the Application of Routing Surcharge Fees
Comments due: January 5, 2015
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-97 |
| 34-74036 |
Jan. 12, 2015 |
Order Approving Proposed Rule Change Amending Rules 311 - Equities and 313 - Equities to Add Limited Liability Companies as Eligible Member Organizations and Delineate the Information Limited Liability Companies Must Submit to the Exchange as Part of the Membership Process; Eliminate the Requirement that a Member Corporation Be Created or Organized, and Maintain its Principal Place of Business, in the United States; and Make Additional Related Amendments to Update Its Membership Rules
|
| 34-73671 |
Nov. 21, 2014 |
Notice of Filing of Proposed Rule Change Amending Rules 311 - Equities and 313 - Equities to Add Limited Liability Companies as Eligible Member Organizations and Delineate the Information Limited Liability Companies Must Submit to the Exchange as Part of the Membership Process; Eliminate the Requirement that a Member Corporation Be Created or Organized, and Maintain its Principal Place of Business, in the United States; and Make Additional Related Amendments to Update Its Membership Rules
Comments due: December 19, 2014
Comments received are available for this proposal.
|
SR-NYSEMKT-2014-96 |
| 34-73620 |
Nov. 18, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the NYSE MKT LLC Equities Proprietary Market Data Fee Schedule ("Market Data Fee Schedule") Regarding Non-Display Use Fees
Comments due: December 15, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-95 |
| 34-74643A |
Apr. 9, 2015 |
Notice of Withdrawal of a Proposed Rule Change, as Modified by Partial Amendment No. 1 and Partial Amendment No. 2, Amending Rule 13 - Equities and Related Rules Governing Order Types and Modifiers; Correction
|
| 34-74643 |
Apr. 3, 2015 |
Notice of Withdrawal of a Proposed Rule Change, as Modified by Partial Amendment No. 1 and Partial Amendment No. 2, Amending Rule 13 - Equities and Related Rules Governing Order Types and Modifiers
|
| 34-74298 |
Feb. 18, 2015 |
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1 and Partial Amendment No. 2, Amending Rule 13 - Equities and Related Rules Governing Order Types and Modifiers
Comments due: March 17, 2015
Rebuttal comments due: March 31, 2015
|
| 34-73913 |
Dec. 22, 2014 |
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Amending Rule 13 - Equities and Related Rules Governing Order Types and Modifiers, as modified by Partial Amendment No. 1
|
| 34-73593 |
Nov. 14, 2014 |
Notice of Filing of Proposed Rule Change Amending Rule 13 - Equities and Related Rules Governing Order Types and Modifiers to Clarify the Nature of Order Types
Comments due: December 11, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-NYSEMKT-2014-94 |
| 34-73589 |
Nov. 13, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Fees for the NYSE ArcaBook for Amex Options Complex Feed and a Change to the NYSE Amex Options Proprietary Market Data Fee Schedule ("Market Data Fee Schedule") Regarding Non-Display Use Fees
Comments due: December 10, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-93 |
| 34-73640 |
Nov. 19, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Rules Concerning Supervision to Harmonize the Rules with Certain Financial Industry Regulatory Authority, Inc. Rules and Making Other Conforming Changes
Comments due: December 16, 2014
|
SR-NYSEMKT-2014-92 |
| 34-73490 |
Oct. 31, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule to Modify the Fees Related to the Use of ports that Provide Connectivity to the Exchange's Trading Systems for Entry of Orders and/or Quotes
Comments due: November 28, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-NYSEMKT-2014-89 |
| 34-73353 |
Oct. 15, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Amend Certain of its Rules to Remove and Replace Obsolete References to Fixed Return Options with the Updated References to Binary Return Derivatives Contracts.
Comments due: November 12, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-88 |
| 34-73346 |
Oct. 14, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Conforming Amendments to Reflect Recent Deletion of Rule 343 - Equities
Comments due: November 10, 2014
|
SR-NYSEMKT-2014-87 |
| 34-73542 |
Nov. 6, 2014 |
Notice of Filing of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule to Add a Service Fee for Certain Post Trade Adjustments Performed by the Exchange to be Effective December 1, 2014
Comments due: December 4, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-86 |
| 34-75190 |
Jun. 17, 2015 |
Order Disapproving Proposed Rule Change to Remove the Exchange’s Quote Mitigation Plan as Provided in Exchange Rule 970.1NY
|
| 34-74704 |
Apr. 10, 2015 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Remove the Exchange's Quote Mitigation Plan as Provided by Exchange Rule 970.1
|
| 34-74087 |
Jan. 16, 2015 |
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Remove the Exchange's Quote Mitigation Plan as Provided by Exchange Rule 970.1NY
Comments due: February 13, 2015
Rebuttal comments due: February 27, 2015
|
| 34-73718 |
Dec. 2, 2014 |
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Remove the Exchange's Quote Mitigation Plan as Provided by Rule 970.1NY
|
| 34-73367 |
Oct. 15, 2014 |
Notice of Filing of Proposed Rule Change Modifying Its Quote Mitigation Plan and Amending Rule 970NY and Rule 970.1NY
Comments due: November 12, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-NYSEMKT-2014-85 |
| 34-73302 |
Oct. 6, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change that Constitutes a Stated Interpretation with Respect to The Meaning, Administration, and Enforcement of Rule 46 - Equities
Comments due: October 31, 2014
|
SR-NYSEMKT-2014-84 |
| 34-73284 |
Oct. 1, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 900.2NY to Codify the Terms Complex BBO and Complex NBBO and To Amend Exchange Rule 900.3NY(w) to Revise the Definition of a PNP Plus Order
Comments due: October 28, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-83 |
| 34-73740 |
Dec. 4, 2014 |
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, in Connection with the Proposed Termination of the Amended and Restated Trust Agreement, dated as of November 13, 2013 and Amended on June 2, 2014 By and Among NYSE Holdings LLC, a Delaware Limited Liability Company, NYSE Group, Inc., a Delaware Corporation, Wilmington Trust Company, as Delaware Trustee, and Each of Jacques de Larosière de Champfeu, Alan Trager and John Shepard Reed, as Trustees
Additional File Nos.: SR-NYSE-2014-53, SR-NYSEArca-
2014-112
|
| 34-73372 |
Oct. 16, 2014 |
Notice of Filing of Proposed Rule Change in Connection with the Proposed Termination of the Amended and Restated Trust Agreement, dated as of November 13, 2013 and Amended on June 2, 2014 by and Among NYSE Holdings LLC, a Delaware Limited Liability Company, NYSE Group, Inc., a Delaware Corporation, Wilmington Trust Company, as Delaware Trustee, and each of Jacques de Larosière de Champfeu, Alan Trager and John Shepard Reed, as Trustees
Comments due: November 12, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-NYSEMKT-2014-82 |
| 34-73255 |
Sep. 30, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 900.3NY (Orders Defined) to Delete WAIT Orders from its Rules
Comments due: October 27, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-81 |
| 34-73817 |
Dec. 11, 2014 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Amending Rule 902.1NY to Authorize the Exchange to Share Any User-Designated Risk Settings in Exchange Systems with the Clearing Member that Clears Transactions on Behalf of the User
Comments due: January 7, 2015
|
| 34-73669 |
Nov. 21, 2014 |
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Amending Rule 902.1NY to Authorize the Exchange to Share Any User-Designated Risk Settings in Exchange Systems with the Clearing Member that Clears Transactions on Behalf of the User
|
| 34-73280 |
Oct. 1, 2014 |
Notice of Filing of Proposed Rule Change Amending Rule 902.1NY to Authorize the Exchange to Share Any User-Designated Risk Settings in Exchange Systems with the Clearing Member that Clears Transactions on Behalf of the User
Comments due: October 28, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-NYSEMKT-2014-79 |
| 34-73218 |
Sep. 25, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 141 and 142 of the NYSE MKT Company Guide To Increase Certain of the Fees Set Forth Therein
Comments due: October 22, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-78 |
| 34-73159 |
Sep. 22, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Commentary .01 to Rule 341 to Specify the Registration and Examination Requirements for Certain Persons Engaged in Supervisory Activities
Comments due: October 17, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-77 |
| 34-73351 |
Oct. 15, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 15 - Equities to Specify that Exchange Systems Can Publish Pre-Opening Indications and To Extend the Time Order Imbalance Information is Disseminated When An Opening is Delayed
Comments due: November 12, 2014
|
SR-NYSEMKT-2014-76 |
| 34-73024 |
Sep. 9, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 967NY(b) to Enhance the Functionality of the Limit Order Filter
Comments due: October 6, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-75 |
| 34-73029 |
Sep. 9, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 49 - Equities, Which Addresses the Exchange's Emergency Powers Revising How Certain Messages are Disseminated
Comments due: October 6, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-74 |
| 34-73019 |
Sep. 9, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List to Adjust the Pricing Related to the Retail Liquidity Program under Rule 107C - Equities
Comments due: October 6, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-73 |
| 34-73008 |
Sep. 5, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fees for Non-Display Use of NYSE Amex Options Market Data
Comments due: October 2, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-72 |
| 34-73020 |
Sep. 9, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fees for Non-Display Use of NYSE MKT OpenBook, NYSE MKT Trades, and NYSE MKT BBO, and to Establish Fees for Non-Display Use of NYSE MKT Order Imbalances
Comments due: October 6, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-71 |
| 34-72972 |
Sep. 3, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE MKT Equities Price List and, through NYSE Amex Options LLC Amending the NYSE Amex Options Fee Schedule to Establish Billing Practices with Respect to Billing Disputes
Comments due: September 30, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-70 |
| 34-72891 |
Aug. 21, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules Governing the Short-Term Option Series Program to Introduce Finer Strike Price Intervals for Related Non-Short Term Options
Comments due: September 17, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-69 |
| 34-72890 |
Aug. 21, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 86 - Equities to Extend the Hours for the Core Bond Trading Session for NYSE MKT Bonds
Comments due: September 17, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-68 |
| 34-72857 |
Aug. 18, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 332 of the NYSE MKT Company Guide to Provide that Listed Companies Should Pay Listing Fees Due in Connection with the Listing of Additional Securities in the Manner Specified in the Exchange's Invoice
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-67 |
| 34-72865 |
Aug. 19, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Amex Options Fee Schedule
Comments due: September 15, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-66 |
| 34-72790 |
Aug. 7, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Amex Options Fee Schedule in a Number of Different Ways
Comments due: September 3, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-NYSEMKT-2014-65 |
| 34-72815 |
Aug. 12, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 935NY and Rule 964NY to Delete Obsolete References to Tracking Orders and Make Other Non-Substantive, Technical Changes to the Exchange Rules
Comments due: September 8, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-63 |
| 34-73095 |
Sep. 15, 2014 |
Order Approving Proposed Rule Change Removing Building Access and Other Restrictions on Traders Conducting Certain Futures and Options Trading on ICE Futures U.S., Inc. in Space Rented from the Exchange
|
| 34-72680 |
Jul. 28, 2014 |
Notice of Filing of Proposed Rule Change Removing Building Access and Other Restrictions on Traders Conducting Certain Futures and Options Trading on ICE Futures U.S., Inc. in Space Rented from the Exchange
Comments due: August 22, 2014
|
SR-NYSEMKT-2014-62 |
| 34-72709 |
Jul. 29, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Clarifying the Exchange's Use of Certain Data Feeds for Order Handling and Execution, Order Routing, and Regulatory Compliance
Comments due: August 26, 2014
Comments received are available for this proposal.
|
SR-NYSEMKT-2014-61 |
| 34-72719 |
Jul. 30, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule, Related to Co-location Services
Comments due: August 26, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-60 |
| 34-72625 |
Jul. 16, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program until March 31, 2015
Comments due: August 12, 2014
Comments received are available for this proposal.
|
SR-NYSEMKT-2014-59 |
| 34-72624 |
Jul. 16, 2014 |
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 "UTP 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 December 31, 2014
Comments due: August 12, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-58 |
| 34-72623 |
Jul. 16, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot Currently Scheduled to Expire on July 31, 2014, Until the Earlier of the Securities and Exchange Commission's Approval to Make Such Pilot Permanent or December 31, 2014
Comments due: August 12, 2014
|
SR-NYSEMKT-2014-57 |
| 34-72622 |
Jul. 16, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its New Market Model Pilot, Currently Scheduled to Expire on July 31, 2014, Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or December 31, 2014
Comments due: August 12, 2014
|
SR-NYSEMKT-2014-56 |
| 34-73333 |
Oct. 9, 2014 |
Order Approving Proposed Rule Changes Amending Exchange Rule 13 to Make the Add Liquidity Only Modifier Available for Limit Orders, and Make the Day Time-In-Force Condition and Add Liquidity Only Modifier Available for Intermarket Sweep Orders
Additional File No.: SR-NYSE-2014-32
|
| 34-72894 |
Aug. 21, 2014 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Rule 13 - Equities to Make the Add Liquidity Only Modifier Available for Additional Limit Orders and Make the Day Time-In-Force Condition Available for Intermarket Sweep Orders
|
| 34-72547 |
Jul. 7, 2014 |
Notice of Filing of Proposed Rule Change Amending Rule 13 - Equities to Make the Add Liquidity Only Modifier Available for Additional Limit Orders and Make the Day Time-In-Force Condition Available for Intermarket Sweep Orders
Comments due: August 1, 2014
Comments received are available for this proposal.
|
SR-NYSEMKT-2014-55 |
| 34-72574 |
Jul. 9, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule in a Number of Different Ways
Comments due: August 5, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-54 |
| 34-72573 |
Jul. 9, 2014 |
Notice of Filing and Immediate Effectiveness 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 5, 2014
Additional Materials: Exhibit 5A; Exhibit 5B
|
SR-NYSEMKT-2014-53 |
| 34-72510 |
Jul. 1, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Price List to Add Certain charges for Hosting Equipment to Support Internet Connections for Member Organizations Operating on the Floor of the Exchange Starting January 1, 2015
Comments due: July 29, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-52 |
| 34-72469 |
Jun. 25, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule by Adopting Fees and Rebates for a New Electronic Crossing Mechanism Called the CUBE Auction
Comments due: July 22, 2014
Comments received are available for this proposal.
|
SR-NYSEMKT-2014-51 |
| 34-72389 |
Jun. 13, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 971.1NY(c)(4)(D) to Add Specificity Regarding When a Customer Best Execution Auction Would Conclude Early
Comments due: July 10, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-50 |
| 34-72343 |
Jun. 6, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule
Comments due: July 3, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-49 |
| 34-72326 |
Jun. 5, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE MKT BBO Market Data Product Offering
Comments due: July 2, 2014
|
SR-NYSEMKT-2014-48 |
| 34-72313 |
Jun. 4, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 900.3NY(d)(3) in Order to Delete Reserve Orders and References thereto From the Rules
Comments due: July 1, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-47 |
| 34-72190 |
May 20, 2014 |
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 December 31, 2014
Comments due: June 17, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-46 |
| 34-72252 |
May 27, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 13 - Equities to Introduce a New "Retail" Modifier for Orders and to Make Related, Administrative Changes to Its Price List
Comments due: June 23, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-45 |
| 34-72194 |
May 20, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 975NY to Provide for New Procedures to Account for Erroneous Trades Occurring from Disruptions and/or Malfunctions of Exchange Systems
Comments due: June 17, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-43 |
| 34-72148 |
May 12, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Account for Recent Changes to the Securities Eligible to be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges
Comments due: June 6, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-42 |
| 34-72084 |
May 2, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 980NY to Adopt Rules Governing an Opening Auction Process for Electronic Complex Orders and to Amend and Reorganize Existing Rules Specifying Available Electronic Complex Order Types and Modifiers
Comments due: May 29, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-41 |
| 34-72156 |
May 13, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Name Changes of Its Ultimate Parent, IntercontinentalExchange Group, Inc., and Its Indirect Parents, IntercontinentalExchange, Inc. and NYSE Euronext Holdings LLC
Comments due: June 9, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-40 |
| 34-72075 |
May 1, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Offering ArcaBook for Amex Options - Complex on a Standalone Basis Without Charge from May 1, 2014 through October 31, 2014
Comments due: May 28, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-39 |
| 34-72040 |
Apr. 29, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .01 to Rule 901 to Replace the Reference to "GOOG" with "GOOGL"
Comments due: May 27, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-37 |
| 34-72434 |
Jun. 19, 2014 |
Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Executions
Additional File Nos.: SR-BATS-2014-014, SR-BX-2014-021, SR-BYX-2014-007, SR-CHX-2014-06, SR-EDGA-2014-11, SR-EDGX-2014-12, SR-FINRA-2014-021, SR-ISE-2014-25, SR-NASDAQ-2014-044, SR-NSX-2014-08, SR-NYSE-2014-22, SR-NYSEArca-2014-48, SR-Phlx-2014-27
|
| 34-72051 |
Apr. 30, 2014 |
Notice of Filing of Proposed Rule Change Adding New Paragraphs (j) and (k) to Rule 128 - Equities, Entitled "Clearly Erroneous Executions For Equities" 1 2 Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the "Act") and 3Rule 19b-4 thereunder, notice is hereby given that, on April 21, 2014, NYSE MKT LLC (the "Exchange" or "NYSE MKT") filed with the Securities and Exchange Commission (the "Commission") the proposed rule change as described in Items I, II, and III below, which Items have been prepared by the self-regulatory organization. The Commission is publishing this notice to solicit comments on the proposed rule change from interested person
Comments due: May 27, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-35 |
| 34-71966 |
Apr. 17, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 900.3NY (Orders Defined) to Remove the Size Restriction on Contra-Party Participation on a Qualified Contingent Cross Order
Comments due: May 14, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-34 |
| 34-71988 |
Apr. 22, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE MKT Rule 343 - Equities to Harmonize the NYSE MKT's Rules with Changes by Financial Industry Regulatory Authority, Inc. to Amend the Uniform Branch Office Registration Form
Comments due: May 19, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-33 |
| 34-72017 |
Apr. 25, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange rules governing Letters of Guarantee and Letters of Authorization
Comments due: May 22, 2014
|
SR-NYSEMKT-2014-32 |
| 34-71952 |
Apr. 16, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposes to Amend Certain of its NYSE MKT Equities Rule Series (500 through 525) to Permit Additional Securities to be Admitted to Dealings on the Exchange Pursuant to a Grant of Unlisted Trading Privileges
Comments due: May 13, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-31 |
| 34-71870 |
Apr. 4, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Applicable to Rule 953.1NY(c), Which Addresses How the Exchange Treats Obvious and Catastrophic Errors During Periods of Extreme Market Volatility, until February 20, 2015
Comments due: April 30, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-30 |
| 34-71934 |
Apr. 11, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Professional User Fees for NYSE Amex Options Market Data, Operative on April 1, 2014
Comments due: May 8, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-29 |
| 34-71889 |
Apr. 7, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List for Certain Executions at the Opening
Comments due: May 2, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-28 |
| 34-71820 |
Mar. 27, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending a Pilot Program Related to Rule 128 - Equities, Entitled "Clearly Erroneous Executions For Equities"
Comments due: April 23, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-27 |
| 34-71898 |
Apr. 8, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 - Equities Governing Pegging Interest
Comments due: May 5, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-26 |
|
34-71844 |
Apr. 1, 2014 |
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 Opening Transactions in New Series of Flexible Exchange Options
Comments due: April 28, 2014
Additional Materials:
Exhibit 5
|
SR-NYSEMKT-2014-25 |
| 34-71878 |
Apr. 4, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Introduce a New Credit for Certain Retail Providing Liquidity on the Exchange
Comments due: May 1, 2014
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-23 |
|
34-71817 |
Mar. 27, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 900.3NY to Specifically Address the Number and Size of Contra-Parties to a Qualified Contingent Cross Order
Comments due: April 23, 2014
Additional Materials:
Exhibit 5
|
SR-NYSEMKT-2014-22 |
| 34-72535 |
Jul. 3, 2014 |
Order Approving Proposed Rule Change Amending Rule 98 to Adopt a Principles-based Approach to Prohibit the Misuse of Material Nonpublic Information and Make Conforming Changes to Other Exchange Rules
|
| 34-72202 |
May 21, 2014 |
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend Rule 98 to Adopt a Principles-based Approach to Prohibit the Misuse of Material Nonpublic Information and Make Conforming Changes to Other Exchange Rules
|
| 34-71838 |
Apr. 1, 2014 |
Notice of Filing of Proposed Rule Change Amending Rule 98 - Equities to Adopt a Principles-based Approach to Prohibit the Misuse of Material Nonpublic Information and Make Conforming Changes to Other Exchange Rules
Comments due: April 28, 2014
Additional Materials:
Exhibit 5
|
SR-NYSEMKT-2014-21 |
| 34-72536 |
Jul. 3, 2014 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, to Make Permanent Its Pilot Program Regarding Minimum Value Sizes for Opening Transactions in New Series of Flexible Exchange Options and Establish New Minimum Value Sizes Applicable to Other FLEX Transactions and FLEX Quot
Comments due: July 31, 2014
|
|
34-71840 |
Apr. 1, 2014 |
Notice of Filing of Proposed Rule Change to Make Permanent Its Pilot Program Regarding Minimum Value Sizes for Opening Transactions in Flexible Exchange Options and Establish New Minimum Value Sizes Applicable to Other FLEX Transactions and FLEX Quotes
Comments due: April 28, 2014
Additional Materials: Exhibit 5
Comments received
are available
for this proposal.
|
SR-NYSEMKT-2014-20 |
|
34-71749 |
Mar. 19, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Expanding the Short-Term Option Series Program
Comments due: April 15, 2014
Additional Materials:
Exhibit 5
|
SR-NYSEMKT-2014-19 |
|
34-71730 |
Mar. 18, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Specify Pricing Applicable to Executions of Mid-Point Passive Liquidity Orders Against Retail Orders Within the Retail Liquidity Program
Comments due: April 14, 2014
Additional Materials:
Exhibit 5
|
SR-NYSEMKT-2014-17 |
| 34-72025 |
Apr. 25, 2014 |
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, Adopting Rule 971.1NY for an Electronic Price Improvement Auction for Single-Leg Options Orde
Comments due: May 22, 2014
!--
Comments received are available for this proposal.
|
|
34-71655 |
Mar. 5, 2014 |
Notice of Filing of Proposed Rule Change Adopting Rule 971.1NY for An Electronic Price Improvement Auction for Single-Leg Orders
Comments due: April 1, 2014
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
|
SR-NYSEMKT-2014-16 |
|
34-71531 |
Feb. 12, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule in A Number of Different Ways
Comments due: March 12, 2014
Additional Materials:
Exhibit 5
|
SR-NYSEMKT-2014-15 |
|
34-71487 |
Feb. 5, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 - Equities to Modify The Manner By Which MPL-ALO Orders Trade When Triggered By Arriving Interest
Comments due: March 4, 2014
Additional Materials:
Exhibit 5
|
SR-NYSEMKT-2014-14 |
| 34-73858 |
Dec. 17, 2014 |
Order Approving a Proposed Rule Change Amending Exchange Rule 967NY to Enhance the Functionality of the Trade Collar Protection Mechanism
See also: Notice: Rel. No. 34-73542
|
| 34-73544 |
Nov. 6, 2014 |
Notice of Filing of Proposed Rule Change Amending Rule 967NY to Enhance the Functionality of the Trade Collar Protection Mechanism
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
|
SR-NYSEMKT-2014-13 |
|
34-71453 |
Jan. 31, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Increase the Fee for Executions in New York Stock Exchange Crossing Session II
Comments due: February 27, 2014
|
SR-NYSEMKT-2014-12 |
|
34-71532 |
Feb. 12, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule by Adopting a Market Access and Connectivity Subsidy
Comments due: March 12, 2014
Additional Materials:
Exhibit 5
|
SR-NYSEMKT-2014-11 |
|
34-71451 |
Jan. 31, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Introduce Fees and Credits for A New Order Type Called a Midpoint Passive Liquidity Order
Comments due: February 27, 2014
Additional Materials:
Exhibit 5
|
SR-NYSEMKT-2014-10 |
|
34-71721 |
Mar. 13, 2014 |
Order Granting Approval of Proposed Rule Change Relating to a Corporate Action in which Its Indirect Parent, NYSE Euronext Holdings LLC, Will Become a Wholly-Owned Subsidiary of IntercontinentalExchange, Inc.
Additional File Nos.: SR-NYSE-2014-04, SR-NYSEArca-2014-08
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34-71395 |
Jan. 24, 2014 |
Notice of Filing of Proposed Rule Change Relating to a Corporate Action in which Its Indirect Parent, NYSE Euronext Holdings LLC, Will Become a Wholly Owned Subsidiary of IntercontinentalExchange, Inc.
Comments due: February 20, 2014
Additional Materials:
Exhibit 5A,
Exhibit 5B,
Exhibit 5C,
Exhibit 5D1,
Exhibit 5D2,
Exhibit 5E,
and
Exhibit 5F
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SR-NYSEMKT-2014-09 |
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34-71410 |
Jan. 27, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase Its Options Regulatory Fee
Comments due: February 21, 2014
Additional Materials:
Exhibit 5
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SR-NYSEMKT-2014-08 |
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34-71728 |
Mar. 14, 2014 |
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Amending Various Sections of Both the Limited Liability Company Agreement of NYSE Amex Options LLC Dated as of June 29, 2011 and the Members Agreement Dated as of June 29, 2011 By and Among the Company, NYSE MKT, NYSE Euronext, Banc of America Strategic Investments Corporation, Barclays Electronic Commerce Holdings Inc., Citadel Securities LLC, Citigroup Financial Strategies, Inc., Goldman, Sachs & Co., Datek Online Management Corp. and UBS Americas Inc. In Order to Make Certain Technical Changes Within the Aforementioned Agreements |
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34-71408 |
Jan. 27, 2014 |
Notice of Filing of Proposed Rule Change Amending Various Sections of Both the Limited Liability Company Agreement of NYSE Amex Options LLC Dated as of June 29, 2011 and the Members Agreement Dated as of June 29, 2011 By and Among the Company, NYSE MKT, NYSE Euronext, Banc of America Strategic Investments Corporation, Barclays Electronic Commerce Holdings Inc., Citadel Securities LLC, Citigroup Financial Strategies, Inc., Goldman, Sachs & Co., Datek Online Management Corp. and UBS Americas Inc. In Order to Make Certain Technical Changes Within the Aforementioned Agreements
Comments due: February 21, 2014
Additional Materials:
Exhibit 5A,
Exhibit 5B,
and
Exhibit 5C
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SR-NYSEMKT-2014-06 |
| 34-71957 |
Apr. 16, 2014 |
Order Granting Approval of a Proposed Rule Change Amending Section 17, which are Rules Applicable to Securities known as Fixed Return Options, to Reflect a Name Change to Binary Return Derivatives, a Change to the Calculation of the Settlement Price, Updating Rule References, Adding New Text for ByRDs Series Available for Trading, Amending the Quoting and Trading Increment Applicable to ByRDs, and Adding a New Paragraph 8 to Rule 975NY(a) and Amending Rule 975NY(d)(1) to Address Obvious Errors in ByRDs
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34-71613 |
Feb. 25, 2014 |
Notice of Filing of Proposed Rule Change Amending Section 17, which are Rules Applicable to Securities known as Fixed Return Options, to Reflect a Name Change to Binary Return Derivatives, a Change to the Calculation of the Settlement Price, Updating Rule References, Adding New Text for ByRDs Series Available for Trading, Amending the Quoting and Trading Increment Applicable to ByRDs, and Adding a New Paragraph 8 to Rule 975NY(a) and Amending Rule 975NY(b)(1) to Address Obvious Errors in ByRDs
Comments due: March 24, 2014
Additional Materials: Exhibit 5
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SR-NYSEMKT-2014-05 |
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34-71630 |
Feb. 27, 2014 |
Order Granting Approval of Proposed Rule Change Amending Its Rules in Order to Clarify the Applicability and Functionality of Certain Order Types on the Exchange
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34-71294 |
Jan. 14, 2014 |
Notice of Filing of Proposed Rule Change Amending its Rules in Order to Clarify the Applicability and Functionality of Certain Order Types on the Exchange
Comments due: February 11, 2014
Additional Materials:
Exhibit 5
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SR-NYSEMKT-2014-04 |
|
34-71275 |
Jan. 9, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule for Firms to Increase the Transaction Fee for Certain Proprietary Electronic Executions of Standard Option Contracts that Fall Within the First of the Volume-Based Tiers for Certain Proprietary Electronic Executions of Standard Option Contracts
Comments due: February 5, 2014
Additional Materials:
Exhibit 5
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SR-NYSEMKT-2014-03 |
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34-71361 |
Jan. 21, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Extend the Operation of its Supplemental Liquidity Providers Pilot, Currently Scheduled to Expire on January 31, 2014, Until the Earlier of the Securities and Exchange Commission's Approval to Make Such Pilot Permanent or July 31, 2014
Comments due: February 18, 2014
Additional Materials:
Exhibit 5
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SR-NYSEMKT-2014-02 |
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34-71342 |
Jan. 17, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Extend 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, 2014
Comments due: February 14, 2014
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SR-NYSEMKT-2014-01 |
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34-71363 |
Jan. 21, 2014 |
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 a Permanent Approval or July 31, 2014
Comments due: February 18, 2014
Additional Materials:
Exhibit 5
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http://www.sec.gov/rules/sro/nysemkt/nysemktarchive/nysemktarchive2014.shtml
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