NYSE MKT LLC Rulemaking Archive 2017

NYSE MKT LLC (NYSEMKT) has changed its name to NYSE American, LLC (NYSEAMER). All filings by NYSE MKT LLC will be posted to this page. Filings filed with "NYSEAMER" as part of the file number will be posted on the NYSE American page.

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 2017

Additional Archives


Chronological List for 2017

Release No. Date Details
Fourth Quarter
SR-NYSEMKT-2017-26
34-82263 Dec. 11, 2017 Notice of Filing of Amendment No. 2 to Proposed Rule Change Amending the Consolidated Audit Trail Funding Fees
Comments due: January 5, 2018
Additional Materials: Exhibit 4, Exhibit 5
See also: Notice: Rel. No. 34-80694, Order: Rel. No. 34-81067, Notice: Rel. No. 34-82049, Notice: Rel. No. 34-82262
Comments received are available for this proposal.
SR-NYSEMKT-2017-26
34-82262 Dec. 11, 2017 Notice of Filing of Amendment No. 1 to a Proposed Rule Change Amending the Consolidated Audit Trail Funding Fees
Comments due: January 4, 2018
Additional Materials: Exhibit 3, Exhibit 4, Exhibit 5
See also: Notice: Rel. No. 34-80694, Order: Rel. No. 34-81067, Notice: Rel. No. 34-82049, 34-82263
Comments received are available for this proposal.
SR-NYSEMKT-2017-30
34-82135 Nov. 21, 2017 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
See also: Notice: Rel. No. 34-82524, Notice: Rel. No. 34-81499, Notice: Rel. No. 34-81145, Notice: Rel. No. 34-80794
Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-Phlx-2017-43, SR-NYSE-2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29
SR-NYSEMKT-2017-29
34-82135 Nov. 21, 2017 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
See also: Notice: Rel. No. 34-82524, Notice: Rel. No. 34-81499, Notice: Rel. No. 34-81145, Notice: Rel. No. 34-80793
Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-Phlx-2017-43, SR-NYSE-2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-30
SR-NYSEMKT-2017-26
34-82049 Nov. 9, 2017 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
See also: Notice: Rel. No. 34-80694, Order: Rel. No. 34-81067, Notice: Rel. No. 34-82262, Notice: Rel. No. 34-82263
Additional File Nos.: SR-BatsBYX-2017-11, SR-BatsBZX-2017-38, SR-BatsEDGA-2017-13, SR-BatsEDGX-2017-22, SR-BOX-2017-16, SR-BX-2017-023, SR-C2-2017-017, SR-CBOE-2017-040, SR-CHX-2017-08, SR-FINRA-2017-011, SR-GEMX-2017-17, SR-IEX-2017-16, SR-ISE-2017-45, SR-MIAX-2017-18, SR-MRX-2017-04, SR-NASDAQ-2017-046, SR-NYSE-2017-22, SR-NYSEArca-2017-52, SR-PEARL-2017-20, SR-Phlx-2017-37
Third Quarter
SR-NYSEMKT-2017-30
34-81499 Aug. 30, 2017 Notice of Filing of Amendment No. 1 by Bats BZX Exchange, Inc.; Bats EDGX Exchange, Inc.; BOX Options Exchange LLC; C2 Options Exchange, Incorporated; Chicago Board Options Exchange, Incorporated; Financial Industry Regulatory Authority, Inc.; Investors Exchange LLC; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC, of Amendment Nos. 1 and 2 by International Securities Exchange, LLC; The NASDAQ Stock Market LLC; NASDAQ BX, Inc.; and NASDAQ PHLX LLC, of Amendment No. 2 by MIAX PEARL, LLC, and of Amendment No. 3 by Miami International Securities Exchange LLC; Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: 21 days after publication in the Federal Register
Rebuttal comments due: 35 days after publication in the Federal Register
See also: Notice: Rel. No. 34-82524, Notice: Rel. No. 34-82135, Notice: Rel. No. 34-81145, Notice: Rel. No. 34-80794
Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-Phlx-2017-43, SR-NYSE-2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29
SR-NYSEMKT-2017-29
34-81499 Aug. 30, 2017 Notice of Filing of Amendment No. 1 by Bats BZX Exchange, Inc.; Bats EDGX Exchange, Inc.; BOX Options Exchange LLC; C2 Options Exchange, Incorporated; Chicago Board Options Exchange, Incorporated; Financial Industry Regulatory Authority, Inc.; Investors Exchange LLC; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC, of Amendment Nos. 1 and 2 by International Securities Exchange, LLC; The NASDAQ Stock Market LLC; NASDAQ BX, Inc.; and NASDAQ PHLX LLC, of Amendment No. 2 by MIAX PEARL, LLC, and of Amendment No. 3 by Miami International Securities Exchange LLC; Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: 21 days after publication in the Federal Register
Rebuttal comments due: 35 days after publication in the Federal Register
See also: Notice: Rel. No. 34-82524, Notice: Rel. No. 34-82135, Notice: Rel. No. 34-81145, Notice: Rel. No. 34-80793
Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-Phlx-2017-43, SR-NYSE-2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-30
SR-NYSEMKT-2017-31
34-81500 Aug. 30, 2017 Order Approving Proposed Rule Changes, as Modified by Amendments, to Adopt a Consolidated Audit Trail Fee Dispute Resolution Process
See also: Notice: Rel. No. 34-80782
Additional File Nos.: SR-BatsBYX-2017-13, SR-BatsBZX-2017-39, SR-BatsEDGA-2017-14, SR-BatsEDGX-2017-24, SR-BOX-2017-19, SR-CBOE-2017-043, SR-IEX-2017-21, SR-ISE-2017-52, SR-MRX-2017-08, SR-MIAX-2017-24, SR-NASDAQ-2017-059, SR-BX-2017-029, SR-GEMX-2017-24, SR-Phlx-2017-47, SR-NYSE-2017-24, SR-NYSEArca-2017-60
SR-NYSEMKT-2017-43
34-81228 Jul. 27, 2017 Notice of Filing and Immediate Effectiveness of Proposed Change to Adopt Transaction Fees in Connection with the Exchange's Transition to a Fully-Automated Cash Equities Market
Comments due: August 23, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2017-30
34-81145 Jul. 14, 2017 Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes to Eliminate Requirements that Will Be Duplicative of CAT
See also: Notice: Rel. No. 34-82524, Notice: Rel. No. 34-82135, Notice: Rel. No. 34-80794, Notice: Rel. No. 34-81499
Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-IEX-2017-18, SR-ISE-2017-46, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-PHLX-2017-43, SR-NYSE- 2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29
SR-NYSEMKT-2017-29
34-81145 Jul. 14, 2017 Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes to Eliminate Requirements that Will Be Duplicative of CAT
See also: Notice: Rel. No. 34-82524, Notice: Rel. No. 34-82135, Notice: Rel. No. 34-81499, Notice: Rel. No. 34-80793
Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-PHLX-2017-43, SR-NYSE- 2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-30
SR-NYSEMKT 2016-99
34-81150 Jul. 14, 2017 Order Disapproving Proposed Rule Changes Amending Exchange Rule 104 to Delete Subsection (g)(i)(A)(III), Which Prohibits Designated Market Makers from Engaging in Transactions, During the Last Ten Minutes of Trading Before the Close, that Establish a New High (Low) Price for the Day on the Exchange in an Assigned Security in Which the DMM Has a Long (Short) Position
See also: Notice: Rel. No. 34-80550 Notice: Rel. No. 34-80043 Notice: Rel. No. 34-79611 Notice: Rel. No. 34-79283
Additional File No.: SR-NYSE-2016-71
SR-NYSEMKT-2017-44
34-81146 Jul. 14, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.38E to Specify the Ranking of an Odd Lot Order that has a Display Price that is Better than its Working Price
Comments due: August 10, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2017-42
34-81130 Jul. 12, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Commentary .07 to Rule 904 to Extend the Pilot Program that Eliminated the Position Limits for Options on SPDR S&P 500 ETF
Comments due: August 8, 2017
Additional Materials: Exhibit 3, Exhibit 5
SR-NYSEMKT-2017-38
34-81115 Jul. 11, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rules to Eliminate ALO and Day ISO Orders and Related Functionality, Provide That All Pegged Orders Would Be Non-Displayed Orders, Change References From "NYSE MKT" to "NYSE American," and Add the Definition of "NYSE American Marketplace"
Comments due: August 7, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2017-31
34-81112 Jul. 10, 2017 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt Rule 6900 to Establish the Procedures for Resolving Potential Disputes Related to CAT Fees Charged to Industry Members
See also:  Order: Rel. No. 34-81500, Notice: Rel. No. 34-80782
SR-NYSEMKT-2017-16
34-81103 Jul. 7, 2017 Order Granting Approval of Proposed Rule Changes, as Modified by Amendment No. 1, Amending NYSE Rule 36 and NYSE MKT Rule 36 - Equities to Permit Exchange Floor Brokers to Use Non-Exchange Provided Telephones on the Floor
See also: Notice: Rel. No. 34-80375, Notice: Rel. No. 34-80753
Additional File No.: SR-NYSE-2017-07
Second Quarter
SR-NYSEMKT-2017-26
34-81067 Jun. 30, 2017 Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Comments due: July 28, 2017
Rebuttal comments due: August 11, 2017
See also: Notice: Rel. No. 34-80694, Notice: Rel. No. 34-82049, Notice: Rel. No. 34-82262, Notice: Rel. No. 34-82263
Additional File Nos.: SR-BatsBYX-2017-11; SR-BatsBZX-2017-38; SR-BatsEDGA-2017-13; SR-BatsEDGX-2017-22; SR-BOX-2017-16; SR-BX-2017-023; SR-C2-2017-017; SR-CBOE-2017-040; SR-CHX-2017-08; SR-FINRA-2017-011; SR-GEMX-2017-17; SR-IEX-2017-16; SR-ISE-2017-45; SR-MIAX-2017-18; SR-MRX-2017-04; SR-NASDAQ-2017-046; SR-NYSE-2017-22; SR-NYSEArca-2017-52; SR-NYSEMKT-2017-26; SR-PEARL-2017-20; SR-PHLX-2017-37
Comments received are available for this proposal.
SR-NYSEMKT-2016-103
34-81038 Jun. 28, 2017 Order Granting Approval of Proposed Rule Change, as Modified by Amendments No. 1, 2, and 3, to Allow the Exchange to Trade, Pursuant to Unlisted Trading Privileges, any NMS Stock Listed on Another National Securities Exchange; Establish Rules for the Trading Pursuant to UTP of Exchange-Traded Products; and Adopt New Equity Trading Rules Relating to Trading Halts of Securities Traded Pursuant to UTP on the Pillar Platform
See also: Notice: Rel. No. 34-80746, Notice: Rel. No. 34-80500, Notice: Rel. No. 34-80097, Notice: Rel. No. 34-79738, Notice: Rel. No. 34-79400
SR-NYSEMKT-2017-23
34-81016 Jun. 23, 2017 Order Granting Approval of Proposed Rule Change to Harmonize the Requirements of the NYSE MKT Company Guide with the Periodic and Semi-Annual Reporting Requirements of the NYSE
See also: Notice: Rel. No. 34-80619
SR-NYSEMKT-2017-32
34-81015 Jun. 23, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule to Add Access for Users to Two Third Party Systems and Connectivity to Six Additional Third Party Data Feeds
Comments due: July 20, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2017-36
34-80989 Jun. 21, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Commentary .02 to Rule 960NY in Order to Extend the Penny Pilot in Options Classes in Certain Issues
Comments due: July 18, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2017-37
34-80964 Jun. 19, 2017 Notice of Filing and Immediate Effectiveness of Proposed Change to Modify the NYSE Amex Options Fee Schedule
Comments due: July 14, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2017-35
34-80902 Jun. 12, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Exchange's Authority to Grant Exemptions from the OATS Requirements
Comments due: July 7, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2017-33
34-80850 Jun. 2, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period for the Exchange's Retail Liquidity Program Until December 31, 2017
Comments due: June 29, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2017-25
34-80804 May 30, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting Rules 5220 - Equities, 996NY Options and 9560 and Amending Rule 8313
Comments due: June 26, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2017-30
34-80794 May 26, 2017 Notice of Filing of Proposed Rule Change to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: June 22, 2017
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-82524, Notice: Rel. No. 34-82135, Notice: Rel. No. 34-81145, Notice: Rel. No. 34-81499
Comments received are available for this proposal.
SR-NYSEMKT-2017-29
34-80793 May 26, 2017 Notice of Filing of Proposed Rule Change to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: June 22, 2017
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-82524, Notice: Rel. No. 34-82135, Notice: Rel. No. 34-81145, Notice: Rel. No. 34-81499
Comments received are available for this proposal.
SR-NYSEMKT-2017-31
34-80782 May 26, 2017 Notice of Filing of Proposed Rule Change to Adopt Rule 6900 to Establish the Procedures for Resolving Potential Disputes Related to CAT Fees Charged to Industry Members
Comments due: June 22, 2017
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-81500, Notice: Rel. No. 34-81112
Comments received are available for this proposal.
SR-NYSEMKT-2017-16
34-80753 May 24, 2017 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes Amending NYSE Rule 36 and NYSE MKT Rule 36 - Equities to Permit Exchange Floor Brokers to Use Non-Exchange Provided Telephones on the Floor
See also: Notice: Rel. No. 34-80375
Additional File No.: SR-NYSE-2017-07
SR-NYSEMKT-2017-17
34-80752 May 24, 2017 Order Approving Proposed Rule Changes to Amend the Certificate and Bylaws of Their Ultimate Parent Company, Intercontinental Exchange, Inc.
See also:  Notice: Rel. No. 34-80419
Additional File Nos.: SR-NYSE-2017-13, SR-NYSEArca-2017-29, SR-NYSENAT-2017-01
SR-NYSEMKT-2017-20
34-80748 May 23, 2017 Notice of Filing and Immediate Effectiveness of Proposed Change to Amend the Rules of the Exchange, the NYSE MKT Equities Price List, the NYSE Amex Options Fee Schedule, and the NYSE Amex Options Proprietary Market Data Fees
Comments due: June 20, 2017
Additional Materials: Exhibit 5a, Exhibit 5b, Exhibit 5c, Exhibit 5d, Exhibit 5e
SR-NYSEMKT-2016-103
34-80746 May 23, 2017 Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendments No. 1 and 2, Allowing the Exchange to Trade, Pursuant to Unlisted Trading Privileges, Any NMS Stock Listed On Another National Securities Exchange; Establishing Rules for the Trading Pursuant to UTP of Exchange-Traded Products; and Adopting New Equity Trading Rules Relating to Trading Halts of Securities Traded Pursuant to UTP on the Pillar Platform
See also: Notice: Rel. No. 34-80500, Notice: Rel. No. 34-80097, Notice: Rel. No. 34-79738, Notice: Rel. No. 34-79400
SR-NYSEMKT-2017-27
34-80723 May 18, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 103B - Equities
Comments due: June 14, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2017-05
34-80700 May 16, 2017 Order Approving Proposed Rule Change Amending Rules 7.29E and 1.1E to Provide for a Delay Mechanism
See also: Notice: Rel. No. 34-80268, Notice: Rel. No. 34-79998
SR-NYSEMKT-2017-28
34-80695 May 16, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 994NY, Broadcast Order Liquidity Delivery Mechanism
Comments due: June 12, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2017-26
34-80694 May 16, 2017 Notice of Filing and Immediate Effectiveness of Proposed Change Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule
Comments due: June 12, 2017
Additional Materials: Exhibit 5, Appendix
See also: Order: Rel. No. 34-81067, Notice: Rel. No. 34-82049, Notice: Rel. No. 34-82262, Notice: Rel. No. 34-82263
Comments received are available for this proposal.
SR-NYSEMKT-2017-24
34-80648 May 10, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amend Rule 67-Equities to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: June 6, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2017-23
34-80619 May 8, 2017 Notice of Filing of Proposed Rule Change to Harmonize the Requirements of the NYSE MKT Company Guide with Respect to Periodic Reporting with Those of the NYSE
Comments due: June 2, 2017
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-81016
SR-NYSEMKT-2017-13
34-80616 May 5, 2017 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Amending Rule 968NY to Make Permanent a Program that Allows Cabinet Trade Transactions to Take Place at a Price Below $1 Per Option Contract
Comments due: June 1, 2017
See also: Notice: Rel. No. 34-80272
SR-NYSEMKT-2017-01
34-80590 May 4, 2017 Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, to Adopt New Equity Trading Rules to Transition Trading on the Exchange from a Floor-Based Market with a Parity Allocation Model to a Fully Automated Market with a Price-Time Priority Model on the Exchange's New Trading Technology Platform, Pillar
Comments due: May 31, 2017
See also: Notice: Rel. No. 34-80337, Notice: Rel. No. 34-79993
SR-NYSEMKT-2017-04
34-80577 May 2, 2017 Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Market Makers Applicable When the Exchange Transitions Trading to Pillar, the Exchange's New Trading Technology Platform
Comments due: May 30, 2017
See also: Notice: Rel. No. 34-79982, Notice: Rel. No. 34-80336
SR-NYSEMKT-2016-99
34-80550 Apr. 28, 2017 Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Amending Rule 104 - Equities to Delete Subsection (g)(i)(A)(III) Prohibiting Designated Market Makers from Establishing a New High (Low) Price on the Exchange in a Security the DMM has a Long (Short) Position During the Last Ten Minutes Prior to the Close of Trading
See also: Notice: Rel. No. 34-80043, Notice: Rel. No. 34-79611, Notice: Rel. No. 34-79283
SR-NYSEMKT-2016-103
34-80500 Apr. 21, 2017 Notice of Filing of Amendment No. 1 to a Proposed Rule Change Allowing the Exchange to Trade, Pursuant to Unlisted Trading Privileges, Any NMS Stock Listed On Another National Securities Exchange; Establishing Rules for the Trading Pursuant to UTP of Exchange-Traded Products; and Adopting New Equity Trading Rules Relating to Trading Halts of Securities Traded Pursuant to UTP on the Pillar Platform
Comments due: May 12, 2017
Additional Materials: Exhibit 4, Exhibit 5
See also: Notice: Rel. No. 34-80746, Notice: Rel. No. 34-80097, Notice: Rel. No. 34-79738, Notice: Rel. No. 34-79400
SR-NYSEMKT-2017-22
34-80497 Apr. 20, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 975NY
Comments due: May 17, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2017-21
34-80494 Apr. 20, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rule 994NY, Broadcast Order Liquidity Delivery Mechanism
Comments due: May 17, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2017-19
34-80433 Apr. 11, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Certain of the Initial and Annual Listing Fee Provisions Included in the NYSE MKT Company Guide
Comments due: May 8, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2017-17
34-80419 Apr. 10, 2017 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Amending the Certificate of Incorporation and Bylaws of Its Ultimate Parent Company, Intercontinental Exchange, Inc.
Comments due: May 5, 2017
Additional Materials: Exhibit 5a, Exhibit 5b
See also: Order: Rel. No. 34-80752
Comments received are available for this proposal.
SR-NYSEMKT-2017-18
34-80397 Apr. 7, 2017 Notice of Filing and Immediate Effectiveness of Proposed Change Amending Its Price List
Comments due: May 4, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2017-16
34-80375 Apr. 4, 2017 Notice of Filing of Proposed Rule Change Amending Rule 36 - Equities to Permit Exchange Floor Brokers to Use Non-Exchange Provided Telephones on the Floor
Comments due: May 1, 2017
Additional Materials: Exhibit 5, Exhibit 5a
See also: Notice: Rel. No. 34-80753
Comments received are available for this proposal.
First Quarter
SR-NYSEMKT-2017-01
34-80337 Mar. 29, 2017 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt New Equities Trading Rules To Transition Trading on the Exchange From a Floor Based Market With a Parity Allocation Model to Fully Automated Price-Time Priority Model on the Exchange's New Trading Technology Platform, Pillar
See also: Order: Rel. No. 34-80590, Notice: Rel. No. 34-79993
SR-NYSEMKT-2017-04
34-80336 Mar. 29, 2017 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Market Makers Applicable when the Exchange Transitions Trading to Pillar, the Exchange's New Trading Technology Platform
See also: Order: Rel. No. 34-80577, Notice: Rel. No. 34-79982
SR-NYSEMKT-2017-08
34-80330 Mar. 29, 2017 Order Approving Proposed Rule Change to Amend Rule 925.1NY Regarding Market Maker Quotations, Including to Adopt a Market Maker Light Only Quotation
See also: Notice: Rel. No. 34-80073
SR-NYSEMKT-2016-63
34-80309 Mar. 24, 2017 Notice of Filing of Partial Amendment No. 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 through 4, to Amend the Co-location Services Offered by the Exchange to Add Certain Access and Connectivity Fees
Comments due: April 20, 2017
See also: Notice: Rel. No. 34-80077, Notice: Rel. No. 34-79672, Notice: Rel. No. 34-79378, Notice: Rel. No. 34-78968
SR-NYSEMKT-2017-14
34-80283 Mar. 21, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Organizational Documents, Company Guide, Price List, Fee Schedules, Independence Policy and Rules to Change the Name of the Exchange to NYSE American LLC
Comments due: April 17, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2017-13
34-80272 Mar. 17, 2017 Notice of Filing of Proposed Rule Change Amending Rule 968NY to Make Permanent A Program that Allows Transactions to Take Place at A Price that is Below $1 Per Option Contract
Comments due: April 13, 2017
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-80616
Comments received are available for this proposal.
SR-NYSEMKT-2017-05
34-80268 Mar. 17, 2017 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Amending Rules 7.29E and 1.1E to Provide for a Delay Mechanism
See also: Notice: Rel. No. 34-79998, Order: Rel. No. 34-80700
SR-NYSEMKT-2017-15
34-80262 Mar. 16, 2017 Notice of Filing and Immediate Effectiveness of Proposed Change Modifying the NYSE Amex Options Fee Schedule
Comments due: April 12, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2017-02
34-80256 Mar. 15, 2017 Order Approving Proposed Rule Changes to Adopt Consolidated Audit Trail Compliance Rules
See also: Notice: Rel. No. 34-79911
Additional File Nos.: SR-BatsBYX-2017-02; SR-BatsBZX-2017-08; SR- BatsEDGA-2017-03; SR-BatsEDGX-2017-08; SR-BOX-2017-07; SR-C2-2017-007; SR-CBOE-2017-012; SR-CHX-2017-03; SR-ISE-2017-08; SR-IEX-2017-04; SR-ISEGemini-2017-04; SR-ISEMercury-2017-03; SR-MIAX-2017-03; SR-PEARL-2017-04; SR-NASDAQ-2017-008; SR-BX-2017-007; SR-PHLX-2017-07; SR-NYSE-2017-01; SR-NYSEArca-2017-03; SR-NYSEArca-2017-04; SR-NSX-2017-03
SR-NYSEMKT-2017-11
34-80178 Mar. 8, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 67 to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: April 4, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2016-52
34-80154 Mar. 3, 2017 Order Approving Proposed Rule Changes to Extend the Time Within Which a Member, Member Organization, an ATP Holder, OTP Holder, or OTP Firm Must File a Uniform Termination Notice for Securities Industry Registration (?€?Form U5?€?)
Rebuttal comments due: 35 days after publication in the Federal Register
Additional File No.: SR-NYSEArca-2016-103
See also: Notice: Rel. No. 34-79645, Notice: Rel. No. 34-79055, Notice: Rel. No. 34-78598, Notice: Rel. No. 34-78198
SR-NYSEMKT-2017-07
34-80141 Mar. 2, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Renaming NYSE OptX
Comments due: March 29, 2017
SR-NYSEMKT-2017-09
34-80117 Feb. 28, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Co-location Services Offered by the Exchange Adding a Wireless Connection to Toronto Stock Exchange (TSX) Third Party Data
Comments due: March 27, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2016-103
34-80097 Feb. 24, 2017 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Allowing the Exchange to Trade, Pursuant to Unlisted Trading Privileges, Any NMS Stock Listed on Another National Securities Exchange; Establishing Rules for the Trading Pursuant to UTP of Exchange-Traded Products; and Adopting New Equity Trading Rules Relating to Trading Halts of Securities Traded Pursuant to UTP on the Pillar Platform
Comments due: March 22, 2017
Rebuttal comments due: April 5, 2017
See also: Notice: Rel. No. 34-80746, Notice: Rel. No. 34-79738, Notice: Rel. No. 34-79400
Comments received are available for this proposal.
SR-NYSEMKT-2016-63
34-80077 Feb. 22, 2017 Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment Nos. 1 - 4, to Amend the Co-location Services Offered by the Exchange to Add Certain Access and Connectivity Fees
See also: Order: Rel. No. 34-80309, Notice: Rel. No. 34-79672, Notice: Rel. No. 34-79378, Notice: Rel. No. 34-78968, Notice: Rel. No. 34-78629
SR-NYSEMKT-2017-06
34-80085 Feb. 22, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Eighth Amended and Restated Certificate of Incorporation of Intercontinental Exchange Holdings, Inc. and the Fifth Amended and Restated Certificate of Incorporation of NYSE Group, Inc.
Comments due: March 21, 2017
Additional Materials: Exhibit 5A, Exhibit 5B
SR-NYSEMKT-2017-08
34-80073 Feb. 21, 2017 Notice of Filing of Proposed Rule Change to Amend Rule 925.1NY Regarding Market Maker Quotations, Including to Adopt a Market Maker Light Only Quotation
Comments due: March 20, 2017
See also: Order: Rel. No. 34-80330
SR-NYSEMKT-2016-99
34-80043 Feb. 15, 2017 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Amending Rule 104 - Equities to Delete Subsection (g)(i)(A)(III) Prohibiting Designated Market Makers from Establishing a New High (Low) Price on the Exchange in a Security the DMM has a Long (Short) Position During the Last Ten Minutes Prior to the Close of Trading
Comments due: March 15, 2017
Rebuttal comments due: March 29, 2017
See also:  Notice: Rel. No. 34-80550, Notice: Rel. No. 34-79611, Notice: Rel. No. 34-79283
Comments received are available for this proposal.
SR-NYSEMKT-2016-119
34-80020 Feb. 10, 2017 Order Granting Approval of a Proposed Rule Change to Conform to Proposed Amendment to Rule 15c6-1(a) under the Securities Exchange Act of 1934 to Shorten the Standard Settlement Cycle for Most Broker-Dealer Transactions from Three Business Days after the Trade Date ("T+3") to Two Business Days after the Trade Date ("T+2")
See also: Notice: Rel. No. 34-79658
SR-NYSEMKT-2017-05
34-79998 Feb. 9, 2017 Notice of Filing of Proposed Rule Change Amending Rules 7.29E and 1.1E to Provide for a Delay Mechanism
Comments due: March 8, 2017
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-80268, Order: Rel. No. 34-80700
Comments received are available for this proposal.
SR-NYSEMKT-2017-01
34-79993 Feb. 9, 2017 Notice of Filing of Proposed Rule Change to Adopt New Equities Trading Rules to Transition Trading on the Exchange From a Floor Based Market with a Parity Allocation Model to Fully Automated Price-Time Priority Model on the Exchange's New Trading Technology Platform, Pillar
Comments due: March 8, 2017
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-80590, Notice: Rel. No. 34-80337
Comments received are available for this proposal.
SR-NYSEMKT-2017-04
34-79982 Feb. 7, 2017 Notice of Filing of Proposed Rule Change Relating to Market Makers Applicable when the Exchange Transitions Trading to Pillar, the Exchange's New Trading Technology Platform
Comments due: March 6, 2017
Additional Materials: Exhibit 5
See also:  Order: Rel. No. 34-80577, Notice: Rel. No. 34-79982
Comments received are available for this proposal.
SR-NYSEMKT-2017-02
34-79911 Jan. 31, 2017 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Adopt the Rule 6800 Series to Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail
Comments due: February 27, 2017
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-80256
Comments received are available for this proposal.
SR-NYSEMKT-2016-122
34-79901 Jan. 30, 2017 Order Approving Proposed Rule Changes, Each as Modified by Amendment No. 1 Thereto, in Connection with the Proposed Acquisition of National Stock Exchange, Inc. by the NYSE Group, Inc.
Additional File Nos.: SR-NYSE-2016-90, SR-NYSEArca-2016-167
See also: Notice: Rel. No. 34-79675
SR-NYSEMKT-2017-03
34-79895 Jan. 30, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules 900.3NY, Rule 961NY, Make a Conforming Change to Rule 935NY, and Eliminate Section 910-AEMI of the AEMI Rules, and Sections 910 and 910-AEMI of the NYSE MKT Company Guide
Comments due: February 24, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2016-120
34-79830 Jan. 18, 2017 Order Granting Accelerated Approval of a Proposed Rule Change to Amend NYSE MKT Rule 971.1NY and Make Permanent the Aspects of Customer Best Execution Auction that Are Subject to a Pilot
See also: Notice: Rel. No. 34-79599
SR-NYSEMKT-2016-103
34-79738 Jan. 4, 2017 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Allowing the Exchange to Trade Pursuant to Unlisted Trading Privileges for Any NMS Stock Listed On Another National Securities Exchange; Establishing Rules for the Trading Pursuant to UTP of Exchange-Traded Products; and Adopting New Equity Trading Rules Relating to Trading Halts of Securities Traded Pursuant to UTP on the Pillar Platform
See also: Notice: Rel. No. 34-80746, Order: Rel. No. 34-80097, Notice: Rel. No. 34-79400
SR-NYSEMKT-2016-127
34-79737 Jan. 4, 2017 Notice of Filing and Immediate Effectiveness of Proposed Change Modifying the NYSE Amex Options Fee Schedule
Comments due: January 31, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2016-126
34-79728 Jan. 4, 2017 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 to Increase LCN and IP Network Fees and Add a Description of Access to Trading and Execution Services and Connectivity to Included Data Products
Comments due: January 31, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2016-102
34-79720 Jan. 3, 2017 Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Introducing NYSE OptX
See also: Notice: Rel. No. 34-79328

NYSEMKT File Number List for 2017

Release No. Date Details
SR-NYSEMKT-2017-44
34-81146 Jul. 14, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.38E to Specify the Ranking of an Odd Lot Order that has a Display Price that is Better than its Working Price
Comments due: August 10, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2017-43
34-81228 Jul. 27, 2017 Notice of Filing and Immediate Effectiveness of Proposed Change to Adopt Transaction Fees in Connection with the Exchange's Transition to a Fully-Automated Cash Equities Market
Comments due: August 23, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2017-42
34-81130 Jul. 12, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Commentary .07 to Rule 904 to Extend the Pilot Program that Eliminated the Position Limits for Options on SPDR S&P 500 ETF
Comments due: August 8, 2017
Additional Materials: Exhibit 3, Exhibit 5
SR-NYSEMKT-2017-38
34-81115 Jul. 11, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rules to Eliminate ALO and Day ISO Orders and Related Functionality, Provide That All Pegged Orders Would Be Non-Displayed Orders, Change References From "NYSE MKT" to "NYSE American," and Add the Definition of "NYSE American Marketplace"
Comments due: August 7, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2017-37
34-80964 Jun. 19, 2017 Notice of Filing and Immediate Effectiveness of Proposed Change to Modify the NYSE Amex Options Fee Schedule
Comments due: July 14, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2017-36
34-80989 Jun. 21, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Commentary .02 to Rule 960NY in Order to Extend the Penny Pilot in Options Classes in Certain Issues
Comments due: July 18, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2017-35
34-80902 Jun. 12, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Exchange's Authority to Grant Exemptions from the OATS Requirements
Comments due: July 7, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2017-33
34-80850 Jun. 2, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period for the Exchange's Retail Liquidity Program Until December 31, 2017
Comments due: June 29, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2017-32
34-81015 Jun. 23, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule to Add Access for Users to Two Third Party Systems and Connectivity to Six Additional Third Party Data Feeds
Comments due: July 20, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2017-31
34-81500 Aug. 30, 2017 Order Approving Proposed Rule Changes, as Modified by Amendments, to Adopt a Consolidated Audit Trail Fee Dispute Resolution Process
See also: Notice: Rel. No. 34-80782
Additional File Nos.: SR-BatsBYX-2017-13, SR-BatsBZX-2017-39, SR-BatsEDGA-2017-14, SR-BatsEDGX-2017-24, SR-BOX-2017-19, SR-CBOE-2017-043, SR-IEX-2017-21, SR-ISE-2017-52, SR-MRX-2017-08, SR-MIAX-2017-24, SR-NASDAQ-2017-059, SR-BX-2017-029, SR-GEMX-2017-24, SR-Phlx-2017-47, SR-NYSE-2017-24, SR-NYSEArca-2017-60
34-81112 Jul. 10, 2017 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt Rule 6900 to Establish the Procedures for Resolving Potential Disputes Related to CAT Fees Charged to Industry Members
34-80782 May 26, 2017 Notice of Filing of Proposed Rule Change to Adopt Rule 6900 to Establish the Procedures for Resolving Potential Disputes Related to CAT Fees Charged to Industry Members
Comments due: June 22, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSEMKT-2017-30
34-82524 Jan. 17, 2018 Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-Phlx-2017-43, SR-NYSE-2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29
34-82135 Nov. 21, 2017 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-Phlx-2017-43, SR-NYSE-2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29
34-81499 Aug. 30, 2017 Notice of Filing of Amendment No. 1 by Bats BZX Exchange, Inc.; Bats EDGX Exchange, Inc.; BOX Options Exchange LLC; C2 Options Exchange, Incorporated; Chicago Board Options Exchange, Incorporated; Financial Industry Regulatory Authority, Inc.; Investors Exchange LLC; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC, of Amendment Nos. 1 and 2 by International Securities Exchange, LLC; The NASDAQ Stock Market LLC; NASDAQ BX, Inc.; and NASDAQ PHLX LLC, of Amendment No. 2 by MIAX PEARL, LLC, and of Amendment No. 3 by Miami International Securities Exchange LLC; Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: 21 days after publication in the Federal Register
Rebuttal comments due: 35 days after publication in the Federal Register
Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-Phlx-2017-43, SR-NYSE-2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29
34-81145 Jul. 14, 2017 Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes to Eliminate Requirements that Will Be Duplicative of CAT
Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-IEX-2017-18, SR-ISE-2017-46, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-PHLX-2017-43, SR-NYSE- 2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29
34-80794 May 26, 2017 Notice of Filing of Proposed Rule Change to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: June 22, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSEMKT-2017-29
34-82524 Jan. 17, 2018 Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-Phlx-2017-43, SR-NYSE-2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-30
34-82135 Nov. 21, 2017 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-Phlx-2017-43, SR-NYSE-2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-30
34-81499 Aug. 30, 2017 Notice of Filing of Amendment No. 1 by Bats BZX Exchange, Inc.; Bats EDGX Exchange, Inc.; BOX Options Exchange LLC; C2 Options Exchange, Incorporated; Chicago Board Options Exchange, Incorporated; Financial Industry Regulatory Authority, Inc.; Investors Exchange LLC; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC, of Amendment Nos. 1 and 2 by International Securities Exchange, LLC; The NASDAQ Stock Market LLC; NASDAQ BX, Inc.; and NASDAQ PHLX LLC, of Amendment No. 2 by MIAX PEARL, LLC, and of Amendment No. 3 by Miami International Securities Exchange LLC; Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: 21 days after publication in the Federal Register
Rebuttal comments due: 35 days after publication in the Federal Register
Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-Phlx-2017-43, SR-NYSE-2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-30
34-81145 Jul. 14, 2017 Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes to Eliminate Requirements that Will Be Duplicative of CAT
Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-PHLX-2017-43, SR-NYSE- 2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-30
34-80793 May 26, 2017 Notice of Filing of Proposed Rule Change to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: June 22, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSEMKT-2017-28
34-80695 May 16, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 994NY, Broadcast Order Liquidity Delivery Mechanism
Comments due: June 12, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2017-27
34-80723 May 18, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 103B - Equities
Comments due: June 14, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2017-26
34-82503 Jan. 16, 2018 Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments, to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Additional File Nos.: SR-BatsBYX-2017-11, SR-BatsBZX-2017-38, SR-BatsEDGA-2017-13, SR-BatsEDGX-2017-22, SR-BOX-2017-16, SR-BX-2017-023, SR-C2-2017-017, SR-CBOE-2017-040, SR-CHX-2017-08, SR-FINRA-2017-011, SR-GEMX-2017-17, SR-IEX-2017-16, SR-ISE-2017-45, SR-MIAX-2017-18, SR-MRX-2017-04, SR-NASDAQ-2017-046, SR-NYSE-2017-22, SR-NYSEArca-2017-52, SR-PEARL-2017-20, SR-Phlx-2017-37
34-82263 Dec. 11, 2017 Notice of Filing of Amendment No. 2 to Proposed Rule Change Amending the Consolidated Audit Trail Funding Fees
Comments due: January 5, 2018
Additional Materials: Exhibit 4, Exhibit 5
Comments received are available for this proposal.
34-82262 Dec. 11, 2017 Notice of Filing of Amendment No. 1 to a Proposed Rule Change Amending the Consolidated Audit Trail Funding Fees
Comments due: January 4, 2018
Additional Materials: Exhibit 3, Exhibit 4, Exhibit 5
Comments received are available for this proposal.
34-82049 Nov. 9, 2017 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Additional File Nos.: SR-BatsBYX-2017-11, SR-BatsBZX-2017-38, SR-BatsEDGA-2017-13, SR-BatsEDGX-2017-22, SR-BOX-2017-16, SR-BX-2017-023, SR-C2-2017-017, SR-CBOE-2017-040, SR-CHX-2017-08, SR-FINRA-2017-011, SR-GEMX-2017-17, SR-IEX-2017-16, SR-ISE-2017-45, SR-MIAX-2017-18, SR-MRX-2017-04, SR-NASDAQ-2017-046, SR-NYSE-2017-22, SR-NYSEArca-2017-52, SR-PEARL-2017-20, SR-Phlx-2017-37
34-81067 Jun. 30, 2017 Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Comments due: July 28, 2017
Rebuttal comments due: August 11, 2017
Additional File Nos.: SR-BatsBYX-2017-11; SR-BatsBZX-2017-38; SR-BatsEDGA-2017-13; SR-BatsEDGX-2017-22; SR-BOX-2017-16; SR-BX-2017-023; SR-C2-2017-017; SR-CBOE-2017-040; SR-CHX-2017-08; SR-FINRA-2017-011; SR-GEMX-2017-17; SR-IEX-2017-16; SR-ISE-2017-45; SR-MIAX-2017-18; SR-MRX-2017-04; SR-NASDAQ-2017-046; SR-NYSE-2017-22; SR-NYSEArca-2017-52; SR-NYSEMKT-2017-26; SR-PEARL-2017-20; SR-PHLX-2017-37
Comments received are available for this proposal.
34-80694 May 16, 2017 Notice of Filing and Immediate Effectiveness of Proposed Change Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule
Comments due: June 12, 2017
Additional Materials: Exhibit 5, Appendix
Comments received are available for this proposal.
SR-NYSEMKT-2017-25
34-80804 May 30, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting Rules 5220 - Equities, 996NY Options and 9560 and Amending Rule 8313
Comments due: June 26, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2017-24
34-80648 May 10, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amend Rule 67-Equities to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: June 6, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2017-23
34-81016 Jun. 23, 2017 Order Granting Approval of Proposed Rule Change to Harmonize the Requirements of the NYSE MKT Company Guide with the Periodic and Semi-Annual Reporting Requirements of the NYSE
See also: Notice: Rel. No. 34-80619
34-80619 May 8, 2017 Notice of Filing of Proposed Rule Change to Harmonize the Requirements of the NYSE MKT Company Guide with Respect to Periodic Reporting with Those of the NYSE
Comments due: June 2, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2017-22
34-80497 Apr. 20, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 975NY
Comments due: May 17, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2017-21
34-80494 Apr. 20, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rule 994NY, Broadcast Order Liquidity Delivery Mechanism
Comments due: May 17, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2017-20
34-80748 May 23, 2017 Notice of Filing and Immediate Effectiveness of Proposed Change to Amend the Rules of the Exchange, the NYSE MKT Equities Price List, the NYSE Amex Options Fee Schedule, and the NYSE Amex Options Proprietary Market Data Fees
Comments due: June 20, 2017
Additional Materials: Exhibit 5a, Exhibit 5b, Exhibit 5c, Exhibit 5d, Exhibit 5e
SR-NYSEMKT-2017-19
34-80433 Apr. 11, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Certain of the Initial and Annual Listing Fee Provisions Included in the NYSE MKT Company Guide
Comments due: May 8, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2017-18
34-80397 Apr. 7, 2017 Notice of Filing and Immediate Effectiveness of Proposed Change Amending Its Price List
Comments due: May 4, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2017-17
34-80752 May 24, 2017 Order Approving Proposed Rule Changes to Amend the Certificate and Bylaws of Their Ultimate Parent Company, Intercontinental Exchange, Inc.
Additional File Nos.: SR-NYSE-2017-13, SR-NYSEArca-2017-29, SR-NYSENAT-2017-01
34-80419 Apr. 10, 2017 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Amending the Certificate of Incorporation and Bylaws of Its Ultimate Parent Company, Intercontinental Exchange, Inc.
Comments due: May 5, 2017
Additional Materials: Exhibit 5a, Exhibit 5b
Comments received are available for this proposal.
SR-NYSEMKT-2017-16
34-81103 Jul. 7, 2017 Order Granting Approval of Proposed Rule Changes, as Modified by Amendment No. 1, Amending NYSE Rule 36 and NYSE MKT Rule 36 - Equities to Permit Exchange Floor Brokers to Use Non-Exchange Provided Telephones on the Floor
Additional File No.: SR-NYSE-2017-07
34-80753 May 24, 2017 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes Amending NYSE Rule 36 and NYSE MKT Rule 36 - Equities to Permit Exchange Floor Brokers to Use Non-Exchange Provided Telephones on the Floor
Additional File No.: SR-NYSE-2017-07
34-80375 Apr. 4, 2017 Notice of Filing of Proposed Rule Change Amending Rule 36 - Equities to Permit Exchange Floor Brokers to Use Non-Exchange Provided Telephones on the Floor
Comments due: May 1, 2017
Additional Materials: Exhibit 5, Exhibit 5a
Comments received are available for this proposal.
SR-NYSEMKT-2017-15
34-80262 Mar. 16, 2017 Notice of Filing and Immediate Effectiveness of Proposed Change Modifying the NYSE Amex Options Fee Schedule
Comments due: April 12, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2017-14
34-80283 Mar. 21, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Organizational Documents, Company Guide, Price List, Fee Schedules, Independence Policy and Rules to Change the Name of the Exchange to NYSE American LLC
Comments due: April 17, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2017-13
34-80616 May 5, 2017 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Amending Rule 968NY to Make Permanent a Program that Allows Cabinet Trade Transactions to Take Place at a Price Below $1 Per Option Contract
Comments due: June 1, 2017
See also: Notice: Rel. No. 34-80272
34-80272 Mar. 17, 2017 Notice of Filing of Proposed Rule Change Amending Rule 968NY to Make Permanent A Program that Allows Transactions to Take Place at A Price that is Below $1 Per Option Contract
Comments due: April 13, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSEMKT-2017-11
34-80178 Mar. 8, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 67 to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: April 4, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2017-09
34-80117 Feb. 28, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Co-location Services Offered by the Exchange Adding a Wireless Connection to Toronto Stock Exchange (TSX) Third Party Data
Comments due: March 27, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2017-08
34-80330 Mar. 29, 2017 Order Approving Proposed Rule Change to Amend Rule 925.1NY Regarding Market Maker Quotations, Including to Adopt a Market Maker Light Only Quotation
See also: Notice: Rel. No. 34-80073
34-80073 Feb. 21, 2017 Notice of Filing of Proposed Rule Change to Amend Rule 925.1NY Regarding Market Maker Quotations, Including to Adopt a Market Maker Light Only Quotation
Comments due: March 20, 2017
SR-NYSEMKT-2017-07
34-80141 Mar. 2, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Renaming NYSE OptX
Comments due: March 29, 2017
SR-NYSEMKT-2017-06
34-80085 Feb. 22, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Eighth Amended and Restated Certificate of Incorporation of Intercontinental Exchange Holdings, Inc. and the Fifth Amended and Restated Certificate of Incorporation of NYSE Group, Inc.
Comments due: March 21, 2017
Additional Materials: Exhibit 5A, Exhibit 5B
SR-NYSEMKT-2017-05
34-80700 May 16, 2017 Order Approving Proposed Rule Change Amending Rules 7.29E and 1.1E to Provide for a Delay Mechanism
34-80268 Mar. 17, 2017 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Amending Rules 7.29E and 1.1E to Provide for a Delay Mechanism
34-79998 Feb. 9, 2017 Notice of Filing of Proposed Rule Change Amending Rules 7.29E and 1.1E to Provide for a Delay Mechanism
Comments due: March 8, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSEMKT-2017-04
34-80577 May 2, 2017 Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Market Makers Applicable When the Exchange Transitions Trading to Pillar, the Exchange's New Trading Technology Platform
Comments due: May 30, 2017
34-80336 Mar. 29, 2017 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Market Makers Applicable when the Exchange Transitions Trading to Pillar, the Exchange's New Trading Technology Platform
34-79982 Feb. 7, 2017 Notice of Filing of Proposed Rule Change Relating to Market Makers Applicable when the Exchange Transitions Trading to Pillar, the Exchange's New Trading Technology Platform
Comments due: March 6, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSEMKT-2017-03
34-79895 Jan. 30, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules 900.3NY, Rule 961NY, Make a Conforming Change to Rule 935NY, and Eliminate Section 910-AEMI of the AEMI Rules, and Sections 910 and 910-AEMI of the NYSE MKT Company Guide
Comments due: February 24, 2017
Additional Materials: Exhibit 5
SR-NYSEMKT-2017-02
34-80256 Mar. 15, 2017 Order Approving Proposed Rule Changes to Adopt Consolidated Audit Trail Compliance Rules
Additional File Nos.: SR-BatsBYX-2017-02; SR-BatsBZX-2017-08; SR- BatsEDGA-2017-03; SR-BatsEDGX-2017-08; SR-BOX-2017-07; SR-C2-2017-007; SR-CBOE-2017-012; SR-CHX-2017-03; SR-ISE-2017-08; SR-IEX-2017-04; SR-ISEGemini-2017-04; SR-ISEMercury-2017-03; SR-MIAX-2017-03; SR-PEARL-2017-04; SR-NASDAQ-2017-008; SR-BX-2017-007; SR-PHLX-2017-07; SR-NYSE-2017-01; SR-NYSEArca-2017-03; SR-NYSEArca-2017-04; SR-NSX-2017-03
34-79911 Jan. 31, 2017 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Adopt the Rule 6800 Series to Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail
Comments due: February 27, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSEMKT-2017-01
34-80590 May 4, 2017 Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, to Adopt New Equity Trading Rules to Transition Trading on the Exchange from a Floor-Based Market with a Parity Allocation Model to a Fully Automated Market with a Price-Time Priority Model on the Exchange's New Trading Technology Platform, Pillar
Comments due: May 31, 2017
34-80337 Mar. 29, 2017 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt New Equities Trading Rules To Transition Trading on the Exchange From a Floor Based Market With a Parity Allocation Model to Fully Automated Price-Time Priority Model on the Exchange's New Trading Technology Platform, Pillar
34-79993 Feb. 9, 2017 Notice of Filing of Proposed Rule Change to Adopt New Equities Trading Rules to Transition Trading on the Exchange From a Floor Based Market with a Parity Allocation Model to Fully Automated Price-Time Priority Model on the Exchange's New Trading Technology Platform, Pillar
Comments due: March 8, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.