NYSE Rule Changes

Amendment Date Rule   Subject
27 Mar 2014 Rules 123(e) and (f)     RETIREMENT OF FESC REPORT CARDS
10 Mar 2014 104, 123C     AMENDMENT TO RULES 104 AND 123C TO ALLOW DMMS TO CLOSE A SECURITY ELECTRONICALLY
25 Feb 2014 Rule 72d     RULE 72(d): BLOCK-SIZED AGENCY CROSSING TRANSACTIONS
06 Jun 2013 Rule 107C     AMENDED RULE 107C: RETAIL LIQUIDITY PROGRAM
24 May 2013 8000, 9000     NYSE ADOPTION OF FINRA INVESTIGATION AND DISCIPLINARY RULES
05 Apr 2013 80B     AMENDED RULE 80B EFFECTIVE ON APRIL 8, 2013
28 Mar 2013 80 B     NEW RULE 80B CIRCUIT BREAKER LEVELS FOR APRIL 1-5, 2013
28 Sep 2012 Rule 80B     New Rule 80B Circuit Breaker Levels for Fourth Quarter 2012
31 Jul 2012 Rule 107 C     NEW RULE 107C: RETAIL LIQUIDITY PROGRAM
29 Jun 2012 Rule 80B     New Rule 80B Circuit Breaker Levels for Third Quarter 2012
28 Jun 2012 Rule 107B     AMENDMENTS TO RULE 107B: SLP MARKET MAKER PROGRAM
30 Mar 2012 80B     New Rule 80B Circuit Breaker Levels for Second Quarter 2012
25 Jan 2012 Rule 452     APPLICATION OF RULE 452 TO CERTAIN TYPES OF CORPORATE GOVERNANCE PROXY PROPOSALS
20 Jan 2012 70.26, 72     AMENDMENTS TO RULES 70.26 (PEGGING FOR D-QUOTES AND E-QUOTES) AND 72 (PRIORITY OF BIDS AND OFFERS AND ALLOCATION OF EXECUTIONS)
10 Jan 2012 RULE 410A     ENHANCED ELECTRONIC BLUE SHEET SUBMISSIONS-EXCHANGE RULE 410A
30 Dec 2011 Rule 80B     NEW RULE 80B CIRCUIT BREAKER LEVELS FOR FIRST QUARTER 2012
12 Oct 2011 Rules 70, 98, 123, 1600, and 7410, 7420, 7430, 7440, 7450, 7460, 7470     HARMONIZATION OF ORDER TRACKING RULES WITH FINRA ORDER AUDIT TRAIL SYSTEM (“OATS”) REQUIREMENTS AND PHASE OUT OF THE ORDER TRACKING SYSTEM (“OTS”) RULES
30 Sep 2011 Rule 80B     NEW RULE 80B CIRCUIT BREAKER LEVELS FOR FOURTH QUARTER 2011
09 Sep 2011 NYSE Rules 900, 5320     HARMONIZATION OF RULE 92 WITH FINRA RULE 5320 (PROHIBITION AGAINST TRADING AHEAD OF CUSTOMER ORDERS)
04 Aug 2011 70     AMENDMENTS TO RULE 70.40(3) TO PERMIT FLOOR BROKER MEMBER ORGANIZATIONS TO ENGAGE IN PROPRIETARY TRADING FROM APPROVED BOOTH PREMISES IN CERTAIN OTC BULLETIN BOARD AND OTC MARKETS SECURITIES
27 Jul 2011 80, 104     AMENDED RULES 80C AND 104 -TRADING PAUSES EXTENDED TO ALL NMS STOCKS AND RELATED CHANGES TO DMM QUOTING REQUIREMENTS EFFECTIVE AUGUST 8, 2011
18 Jul 2011 34, 401A, 476A, 4530, 2232, 3270     HARMONIZATION OF RULE 351(a)-(d) AND SUPPLEMENTARY MATERIAL .10 AND .13 WITH FINRA RULE 4530; HARMONIZATION OF RULE 409(f) WITH FINRA RULE 2232; HARMONIZATION OF RULE 346 WITH FINRA RULE 3270
10 May 2011 Rule 72     AMENDMENTS TO RULE 72(d): BLOCK-SIZED AGENCY CROSSING TRANSACTIONS - REVISED
06 Apr 2011 Rule 36     AMENDMENTS TO RULE 36: DMM UNIT ELECTRONIC WRITTEN COMMUNICATIONS FROM THE TRADING FLOOR
31 Mar 2011 Rule 80B     New Rule 80B Circuit Breaker Levels for Second Quarter 2011
25 Feb 2011 Rule 123C;
Rule 440B  
  REGULATION SHO SHORT SALE PRICE TEST AMENDMENTS
30 Sep 2010 Rule 80B     New Rule 80B Circuit Breaker Levels for Fourth Quarter 2010
30 Sep 2010 Rule 107     AMENDMENTS TO RULE 107B: QUOTING AND VOLUME REQUIREMENTS
24 Aug 2010 Rule 15     AMENDMENTS TO NYSE AND NYSE AMEX EQUITIES RULE 15
09 Aug 2010 Rule 123     HARMONIZATION OF NYSE AND NYSE AMEX EQUITIES RULE 123G WITH FINRA RULE 5290 REGARDING CERTAIN ORDER ENTRY AND/OR EXECUTION PRACTICES
04 Aug 2010 Rule 452     DODD-FRANK IMPACT TO PROXY VOTING REQUIREMENTS
30 Jun 2010 Rule 80B     New Rule 80B Circuit Breaker Levels for Third Quarter 2010
21 Jun 2010 Rule 122     RULE 122 (ORDERS WITH MORE THAN ONE BROKER)
09 Jun 2010 Rule 325;
Rule 405  
  HARMONIZATION OF NYSE, NYSE AMEX EQUITIES AND FINRA RULES
18 May 2010 Rule 474A     AMENDMENTS TO THE EXCHANGE'S MINOR RULE VIOLATION PLAN, NYSE AMEX DISCIPLINARY RULE 476A
13 May 2010 Rule 446     HARMONIZATION OF NYSE AND NYSE AMEX EQUITIES RULE 446 WITH FINRA RULE 4370 REGARDING MEMBER AND MEMBER ORGANIZATION BUSINESS CONTINUITY PLANNING
01 Apr 2010 Rule 127     AMENDMENT TO NYSE RULE 127 ("BLOCK CROSSES OUTSIDE THE PREVAILING NYSE QUOTATION") AND NYSE AMEX EQUITIES RULE 127 ("BLOCK CROSSES OUTSIDE THE PREVAILING EXCHANGE QUOTATION")
26 Feb 2010 Rule 13;
Rule 15;
Rule 123C  
  AMENDMENT TO NYSE & NYSE AMEX EQUITIES RULES 123C ("Market On The Close Policy And Expiration Procedures"), 13 ("Definition of Orders") AND 15 ("Pre-Opening Indications") - MODIFICATION OF CLOSING PROCESS PROCEDURES
26 Feb 2010 Rule 132B;
Rule 132C  
  UPDATED ORDER TRACKING SYSTEM TECHNICAL SPECIFICATIONS FOR EXCHANGE RULES 132B AND 132C
18 Feb 2010 Rule 312;
Rule 321;
Rule 352;
Rule 445  
  HARMONIZATION OF NYSE AND NYSE AMEX EQUITIES RULES 312(f), 321.24, 352(a)-(d) AND 445 WITH FINRA RULES 2150, 2262, 2269 AND 3310
27 Jan 2010 Rule 62     AMENDMENT NYSE AND NYSE AMEX EQUITIES RULES 62 (“Variations”) - MINIMUM PRICE VARIATION FOR ORDERS AND QUOTATIONS IN SECURITIES PRICED BELOW $
16 Nov 2009 Rule 36     USE OF PERSONAL PORTABLE OR WIRELESS COMMUNICATION DEVICES UNDER NYSE AND NYSE AMEX EQUITIES RULE 36
30 Oct 2009 Rule 407     Supervision of Trading in Proprietary, Employee and Employee-Related Securities and Commodities Accounts
02 Oct 2009 Rule 128A;
Rule 128B  
  CLEARLY ERRONEOUS EXECUTIONS (CEE) RULE AND PROCEDURE CHANGES
01 Oct 2009 Rule 80B     New Rule 80B Circuit Breaker Level for Fourth Quarter 2009
18 Sep 2009 Rule 123     UPDATE AND RE-LAUNCH OF THE FESC REPORT CARD SYSTEM
01 Sep 2009 Rule 103B;
Rule 104  
  INCREASE TO DMM QUOTING REQUIREMENTS UNDER NYSE RULES 103B AND 104
25 Aug 2009 Rule 406     HARMONIZATION OF NYSE AND NYSE AMEX EQUITIES RULES 406 and 409A WITH FINRA RULES 3250 AND 2266
14 Aug 2009 Rule 134     AMENDMENT TO RULE 134 - QUESTIONED TRADE RESOLUTION DURING COMPARISON OF EXECUTED TRANSACTIONS
24 Jul 2009 Rule 14     NON-REGULAR WAY SETTLEMENT ORDERS
28 May 2009 Rule 342     Procedures for Escalating and Addressing Inquiries Arising from Real-Time Regulatory or Trading Issues
11 May 2009 Rule 60;
Rule 123C;
Rule 1000  
  AMENDMENTS TO NYSE AMEX EQUITIES RULES 60 ("DISSEMINATION OF QUOTATIONS"), 1000 ("AUTOMATIC EXECUTION OF LIMIT ORDERS AGAINST ORDERS REFLECTED IN EXCHANGE PUBLISHED QUOTATION") AND 123C ("MARKET ON THE CLOSE POLICY AND EXPIRATION PROCEDURES")
05 May 2009 Rule 123C     AMENDMENT TO RULE 123C TO ADD TEMPORARY RULE SUSPENSIONS FOR AN EXTREME ORDER IMBALANCE AT THE CLOSE
30 Apr 2009 Rule 123     Interim Procedure for Orders Incompatible with Entry into the NYSE Order Management Systems
25 Mar 2009 Rule 92     RULE 92(c)(3) OPERATIVE DATE DELAYED TO JULY 31, 2009
06 Mar 2009 Rule 123C     New NYSE System Functionality for Handling Market-on-Close and Limit-on-Close Orders and Cancellations
27 Feb 2009 Rule 36     LIMITATIONS ON THE USE OF CERTAIN WIRELESS TRADING DEVICES, INCLUDING HANDHELD TRADING DEVICES, AND PORTABLE TELEPHONES
04 Feb 2009 Rule 116;
Rule 123C  
  AMENDMENTS TO NYSE RULE AND NYSE ALTERNEXT EQUITIES RULES 116 (“STOP” CONSTITUTES GUARANTEE) AND 123C (MARKET ON THE CLOSE POLICY AND EXPIRATION PROCEDURES)
27 Jan 2009 Rule 103B     AMENDMENTS TO NYSE RULE 103B AND NYSE ALTERNEXT EQUITIES RULE 103B (SECURITY ALLOCATION AND REALLOCATION)
02 Jan 2009 Rule 80B     New Rule 80B Circuit Breaker Level For First Quarter 2009
01 Dec 2008 Rule 62     AMENDMENT NYSE RULE 62 - MINIMUM PRICE VARIATION FOR ORDERS AND QUOTATIONS IN SECURITIES PRICED BELOW $1.00
01 Dec 2008 Rule 123B;
Rule 123C  
  UPDATED ORDER TRACKING SYSTEM TECHNICAL SPECIFICATIONS FOR EXCHANGE RULES 132B AND 132C
20 Nov 2008 Rule 103A;
Rule 103B;
Rule 106  
  IMPLEMENTATION OF NEW ALLOCATION POLICY - NYSE RULES 103A (DMM STOCK REALLOCATION) AND 103B (DMM STOCK ALLOCATION) AND RECISSION OF NYSE RULE 106
14 Nov 2008 Rule 123D     AMENDMENT OF EXCHANGE RULE 123D - Elimination of Sub-penny Halt trading condition
31 Oct 2008 Rule 123     REPORT CARD COMPLIANCE WITH NYSE RULE 123(e) and (f) - SECOND RELEASE
13 Oct 2008 Rule 392     NYSE Rule 392 and PIPE Reporting Obligations
09 Oct 2008 Rule 104     AMENDMENT TO RULE 104.10 REGARDING SPECIALIST STABILIZING TRANSACTIONS AND EXTENSION OF CONDITIONAL TRANSACTIONS PILOT IN ALL SECURITIES
09 Oct 2008 Rule 13     OFF-FLOOR ABILITY TO ENTER RESERVE ORDERS IN ALL EQUITY SECURITIES TRADED ON PILOT BASIS PURSUANT TO NYSE RULE 13
30 Sep 2008 Rule 1000     Amendment to NYSE Rule 1000 to widen the value ranges for the calculation of Liquidity Replenishment Points (“LRPs”)
18 Sep 2008 Rule 15;
Rule 116;
Rule 123C;
Rule 123D;
Rule 405;
Rule 902  
  QUARTERLY Expiration Day - SEPTEMBER 19, 2008
11 Sep 2008 Rule 104     AMENDMENT TO NYSE RULE 104(b) TO ALLOW SPECIALISTS TO AUTOMATICALLY OPEN A SECURITY ON A TRADE
14 Aug 2008 Rule 36     FLOOR BROKER USE OF AUTHORIZED AND ISSUED PORTABLE PHONES - NYSE RULE 36
14 Aug 2008 Rule 36     RCMM USE OF EXCHANGE AUTHORIZED AND PROVIDED PORTABLE PHONES ON THE NYSE FLOOR (EXCHANGE RULE 36)
02 Jul 2008 Rule 15;
Rule 123C  
  AMENDMENT OF EXCHANGE RULES 15 AND 123C - NEW IMBALANCE PUBLICATIONS AT OPEN AND CLOSE
02 Jul 2008 Rule 80B     New Rule 80B Circuit Breaker Levels For Third Quarter 2008
30 Jun 2008 Rule 104     AMENDMENT TO RULE 104.10 REGARDING SPECIALIST STABILIZING TRANSACTIONS AND EXTENSION OF CONDITIONAL TRANSACTIONS PILOT IN ALL SECURITIES
30 Jun 2008 Rule 103A;
Rule 103B  
  MORATORIUM ON THE USE AND ADMINISTRATION OF THE SPECIALIST PERFORMANCE EVALUATION QUESTIONNAIRE (“SPEQ”), ORDER REPORTS/ADMINISTRATIVE RESPONSES AND SUPERDOT TURNAROUND PURSUANT TO EXCHANGE RULES 103A and 103B.
29 May 2008 Rule 13     AMENDMENT OF EXCHANGE RULES 13 and 17 TO INCLUDE A NON-AFFILIATE THIRD-PARTY BROKER-DEALER
22 Apr 2008 Rule 13;
Rule 70  
  REVISED-NEW RESERVE ORDER TYPE AND DO NOT DISPLAY E-QUOTES - AMENDMENT OF RULE 13 AND RULE 70
21 Apr 2008 Rule 13;
Rule 70  
  New Reserve Order Type and Do Not Display E-Quotes - Amendment of Rule 13 and Rule 70
09 Apr 2008 Rule 104     AMENDMENT TO RULE 104.10 REGARDING SPECIALIST STABILIZING TRANSACTIONS AND EXTENSION OF CONDITIONAL TRANSACTIONS PILOT IN ALL SECURITIES
09 Apr 2008 Rule 103A;
Rule 103B  
  MORATORIUM ON THE USE AND ADMINISTRATION OF THE SPECIALIST PERFORMANCE EVALUATION QUESTIONNAIRE (“SPEQ”), ORDER REPORTS/ADMINISTRATIVE RESPONSES AND SUPERDOT TURNAROUND PURSUANT TO EXCHANGE RULES 103A and 103B.
26 Mar 2008 Rule 104     PRICE IMPROVEMENT FOR ORDERS IN EQUITY SECURITIES THAT TRADE ON THE EXCHANGE IN UNITS OTHER THAN 100 SHARES
20 Mar 2008 Rule 13;
Rule 124  
  AMENDMENTS TO RULES 13 AND 124 TO RESCIND LEGACY ORDER TYPES
20 Mar 2008 Rule 15     RULE 15 - Pre-Opening Indications
18 Mar 2008 Rule 97     Rescission of Exchange Rule Rule 97
14 Mar 2008 Rule 103A     NYSE RULE 103A(a)(3): FLOOR MEMBER CONTINUING EDUCATION PROGRAM
06 Mar 2008 Rule 13;
Rule 60;
Rule 1000  
  AUTOMATIC EXECUTION OF G-QUOTES AMENDMENT OF EXCHANGE RULES 13, 60 and 1000
06 Feb 2008 Rule 1000     AMENDMENT OF RULE 1000(a)(iv), EFFECTIVE DECEMBER 27, 2007
25 Jan 2008 Rule 103A;
Rule 103B  
  MORATORIUM ON THE USE And ADMINISTRATION OF THE SPECIALIST PERFORMANCE EVALUATION QUESTIONNAIRE ("SPEQ"), ORDER REPORTS/ADMINISTRATIVE RESPONSES AND SUPERDOT TURNAROUND PURSUANT TO EXCHANGE RULES 103A and 103B.
21 Dec 2007 Rule 325     ELIMINATION OF RULE 325(e), EFFECTIVE NOVEMBER 30, 2007
21 Dec 2007 Rule 92     RULE 92(c)(3) IMPLEMENTATION DATE EXTENDED TO MAY 14, 2008
13 Dec 2007 Rule 103A     NYSE RULE 103A(a)(3): FLOOR MEMBER CONTINUING EDUCATION PROGRAM
09 Nov 2007 Rule 103B     RULE 103B AMENDMENTS - SPECIALIST REGISTRATION IN BOTH ETF AND COMPONENT SECURITIES
09 Nov 2007 Rule 92     NYSE RULE 92 - CUSTOMER CONSENT AND FREQUENTLY ASKED QUESTIONS
01 Nov 2007 Rule 80A     ELIMINATION OF RULE 80A EFFECTIVE NOVEMBER 2, 2007
31 Oct 2007 Rule 104     SEC APPROVES AMENDMENTS TO RULE 104.10 REGARDING CONDITIONAL TRANSACTIONS
26 Oct 2007 Rule 80A     ELIMINATION OF ORDER ENTRY RESTRICTIONS IN RULE 80A
03 Oct 2007 Rule 104     EXTENSION OF SPECIALIST STABILIZATION RULE PILOT
13 Sep 2007 Rule 124     Odd-Lot Pricing - Exchange Rule 124.
13 Sep 2007 Rule 104     AMENDENT TO RULE 104(e) to REMOVE PRICE PARAMETERS BASED ON THE QUOTATION SPREAD.
03 Aug 2007 Rule 13;
Rule 36;
Rule 98;
Rule 104;
Rule 105;
Rule 123C;
Rule 123D  
  Listing of iShares S&P World Ex-US Property Index Fund
02 Aug 2007 Rule 409     EXTENSION OF TEMPORARY RELIEF FROM SUBSECTION (f) OF NYSE RULE 409 ("STATEMENTS OF ACCOUNTS TO CUSTOMERS")
01 Aug 2007 Rule 343     AMENDMENTS TO NYSE RULE 343 WILL BE NOTICED FOR COMMENT - NO LONGER IMMEDIATELY EFFECTIVE
23 Jul 2007 Rule 10;
Rule 104;
Rule 111;
Rule 123A;
Rule 200;
Rule 201;
Rule 421;
Rule 440B;
Rule 440C;
Rule 440F;
Rule 440G;
Rule 902;
Rule 1000;
Rule 1003  
  SEC AND NYSE AMENDMENTS CONCERNING SHORT SALE RULES
23 Jul 2007 Rule 431     PORTFOLIO MARGINING SUITABILITY
16 Jul 2007 Rule 431     ONE YEAR EXTENSION OF CUSTOMER PORTFOLIO MARGINING PILOT PROGRAM
03 Jul 2007 Rule 342;
Rule 343  
  AMENDMENTS TO NYSE RULES 342 AND 343
29 Jun 2007 Rule 106     Specialists' Contact with Listed Companies and Member Organizations
28 Jun 2007 Rule 726     UPDATED SUPPLEMENT TO THE OPTIONS DISCLOSURE DOCUMENT
21 Jun 2007 Rule 127     BLOCK CROSSES OUTSIDE THE PREVAILING NYSE QUOTATION - RULE 127
05 Jun 2007 Rule 311     CO-CCO AND CO-COO DESIGNATIONS
01 Jun 2007 Rule 13;
Rule 36;
Rule 98;
Rule 104;
Rule 105;
Rule 123C;
Rule 123D  
  Listing of HealthShares™ Exchange-Traded Fund (HHT)
31 May 2007 Rule 726     UPDATED SUPPLEMENT TO THE OPTIONS DISCLOSURE DOCUMENT
21 May 2007 Rule 440A     AMENDMENTS TO RULE 440A ("TELEPHONE SOLICITATIONS") PERTAINING TO "FACSIMILE ADVERTISEMENTS"
16 May 2007 Rule 421     SHORT INTEREST REPORTING
11 May 2007 Rule 342     REGULATION NMS
09 May 2007 Rule 13;
Rule 36;
Rule 98;
Rule 104;
Rule 105;
Rule 123C;
Rule 123D  
  iShares® Dow Jones U.S. Telecommunications Sector Index Fund-Change to Underlying Index
09 May 2007 Rule 13;
Rule 36;
Rule 98;
Rule 104;
Rule 105;
Rule 123C;
Rule 123D  
  Market Vectors -- Global Alternative Energy ETF
30 Apr 2007 Rule 13;
Rule 36;
Rule 98;
Rule 104;
Rule 105;
Rule 123C;
Rule 123D  
  Market Vectors -- Russia ETF
25 Apr 2007 Rule 325;
Rule 326(a);
Rule 326(b);
Rule 326(c);
Rule 326(d)  
  AMENDMENTS TO NYSE NET CAPITAL RULES
23 Apr 2007 Rule 726     UPDATED SUPPLEMENT TO THE OPTIONS DISCLOSURE DOCUMENT
18 Apr 2007 Rule 13;
Rule 36;
Rule 98;
Rule 104;
Rule 105;
Rule 123C;
Rule 123D  
  Listing of HealthShares™ Exchange-Traded Fund (HRW)
11 Apr 2007 Rule 342     RESCISSION OF SERIES 12 EXAMINATION
03 Apr 2007 Rule 13;
Rule 36;
Rule 98;
Rule 104;
Rule 105;
Rule 112;
Rule 123C;
Rule 123D  
  Listing of Two HealthShares™ Funds
20 Mar 2007 Rule 409     TEMPORARY RELIEF FROM THE APPLICATION OF NYSE RULE 409(f)
19 Mar 2007 Rule 431     SAMPLE PORTFOLIO MARGINING RISK DISCLOSURE AND ACKNOWLEDGMENT STATEMENTS
12 Mar 2007 Rule 13;
Rule 36;
Rule 98;
Rule 104;
Rule 105;
Rule 123C;
Rule 123D  
  Listing of Nine HealthShares™ Funds
01 Mar 2007 Rule 13;
Rule 36;
Rule 98;
Rule 104;
Rule 105;
Rule 123C;
Rule 123D  
  Listing of PowerShares DWA Technical Leaders™ Portfolio Exchange Traded Fund
16 Feb 2007 Rule 13;
Rule 36;
Rule 98;
Rule 104;
Rule 105;
Rule 112;
Rule 123C;
Rule 123D;
Rule 200;
Rule 1100  
  Listing of Sixteen iShares® Exchange Traded Funds
24 Jan 2007 Rule 472     CODIFICATION OF INTERPRETATIONS TO RULE 472 (COMMUNICATIONS WITH THE PUBLIC)
23 Jan 2007 Rule 342     SUBMISSION OF RULE 342.30 PROCESS REPORT
04 Jan 2007 Rule 123A     AMENDMENT TO THE "TWO TICK" REQUIREMENT FOR ACTIVE CONVERSIONS UNDER NYSE RULE 123A.30
22 Dec 2006 Rule 409     SIPC INFORMATION FOR CUSTOMERS
21 Dec 2006 Rule 431;
Rule 726  
  AMENDMENTS TO NYSE RULES 431 AND 726 THAT EXPAND CUSTOMER PORTFOLIO MARGINING
21 Dec 2006 Rule 607     AMENDMENT TO RULE 607 CONCERNING THE RANDOM LIST SELECTION METHOD OF ARBITRATOR APPOINTMENT
30 Nov 2006 Rule 409     PERMITTING DVP/RVP CUSTOMERS TO OPT OUT OF RECEIVING STATEMENTS
10 Nov 2006 Rule 345A     CONTINUING EDUCATION FIRM ELEMENT ADVISORY
03 Oct 2006 Rule 36     REGISTERED COMPETITIVE MARKET MAKERS (“RCMMs”) PERMITTED TO COMMUNICATE WITH THEIR BOOTHS VIA THEIR EXCHANGE AUTHORIZED AND PROVIDED PORTABLE PHONES
02 Oct 2006 Rule 80A;
Rule 80B  
  NEW RULE 80A COLLARS AND RULE 80B CIRCUIT BREAKER LEVELS FOR FOURTH QUARTER 2006
29 Sep 2006 Rule 15;
Rule 15A  
  IMPLEMENTATION OF THE NMS LINKAGE PLAN - NYSE RULES 15 AND 15A
28 Sep 2006 Rule 421     GUIDANCE RELATING TO SHORT POSITION REPORTING REQUIREMENTS UNDER RULE 421
14 Sep 2006 Rule 123C     EXPIRATION FRIDAY - SEPTEMBER 15, 2006 - RULE 123C
11 Sep 2006 Rule 312     AMENDMENTS TO RULE 312 REGARDING RECOMMENDATION OF AFFILIATE SECURITIES
29 Aug 2006 Rule 619     FAILURE TO APPEAR OR PRODUCE DOCUMENTS IN ARBITRATION MAY BE DEEMED A RULE 476(a) VIOLATION
28 Aug 2006 Rule 132;
Rule 134;
Rule 411  
  ERRORS AND ERRONEOUS REPORTS [NYSE RULES 134 AND 411(a)]
21 Aug 2006 Rule 70;
Rule 104  
  MINIMUM DISPLAY AMOUNT IN CONNECTION WITH SPECIALIST RESERVE INTEREST REDUCED TO 1000 SHARES
21 Aug 2006 Rule 104     SPECIALISTS PERMITTED TO SEND ALGORITHMIC TRADING MESSAGES TO INTERACT WITH THE EXCHANGE QUOTATION VIA API
16 Aug 2006 Rule 1300;
Rule 1301  
  Trading of iPath Exchange-Traded Notes and Rules 1300B and 1301B
21 Jul 2006 Rule 1300     Trading of iShares® GSCI® Commodity-Indexed Trust and Rules 1300B and 1301B
03 Jul 2006 Rule 345     INDEPENDENT CONTRACTOR ARRANGEMENTS
03 Jul 2006 Rule 80A;
Rule 80B  
  NEW RULE 80A COLLARS AND RULE 80B CIRCUIT BREAKER LEVELS FOR THIRD QUARTER 2006
27 Jun 2006 Rule 36;
Rule 342  
  AMENDMENTS TO NYSE RULE 342 REGARDING RISK-BASED BRANCH OFFICE INSPECTIONS
23 Jun 2006 Rule 13;
Rule 36;
Rule 98;
Rule 104;
Rule 105;
Rule 123E;
Rule 132B;
Rule 460;
Rule 1002;
Rule 1005;
Rule 1300;
Rule 1301  
  Listing of Six CurrencyShares Trusts
21 Jun 2006 Rule 104     HYBRID MARKET IMPLEMENTATION - SPECIALIST ALGORITHMIC QUOTING ("S QUOTES") RULE 104
16 Jun 2006 Rule 13;
Rule 36;
Rule 98;
Rule 104;
Rule 105;
Rule 123C;
Rule 1100  
  Listing of Twenty WisdomTree Exchange Traded Funds
14 Jun 2006 Rule 123C     Expiration Friday - June 16, 2006 - Rule 123C
07 Jun 2006 Rule 1300;
Rule 1301  
  Trading of iPath Exchange-Traded Notes and Rules 1300B and 1301B
07 Jun 2006 Rule 1300;
Rule 1301  
  Trading of iPath Exchange-Traded Notes and Rules 1300B and 1301B
05 Jun 2006 Rule 35;
Rule 301  
  FLOOR ACCESS FINGERPRINTING REQUIREMENTS
08 May 2006 Rule 134;
Rule 407A;
Rule 411  
  REMINDER & UPDATE - Mandatory Error Account Requirements and Error Transaction Procedures - Rules 134, 407A and 411
05 May 2006 Rule 440B     EXPIRATION OF SHORT EXEMPTION (EXCHANGE RULE 440B/SEC RULE 10a-1)
05 May 2006 Rule 13;
Rule 1000;
Rule 1005  
  PILOT PROGRAM LIFTING SIZE AND FREQUENCY RESTRICTIONS THROUGH NYSE DIRECT+®; ADDING MARKET ORDERS TO NYSE DIRECT+®
04 May 2006 Rule 351     NYSE RULE 351(d) - REPORTS OF CUSTOMER COMPLAINT STATISTICS
03 Apr 2006 Rule 80A;
Rule 80B  
  NEW RULE 80A COLLARS AND RULE 80B CIRCUIT BREAKER LEVELS FOR SECOND QUARTER 2006
31 Mar 2006 Rule 103     CERTIFICATION OF SPECIALIST AND SPECIALIST CLERK RECORDS OF TIME ON TRADING FLOOR (RULE 103.12)
16 Mar 2006 Rule 123C     EXPIRATION FRIDAY - March 17, 2006 - RULE 123C
13 Mar 2006 Rule 342     NYSE RULE 342.30 – ANNUAL REPORT; CHIEF COMPLIANCE OFFICER DESIGNATION; CHIEF EXECUTIVE OFFICER CERTIFICATION
17 Feb 2006 Rule 351     REPORTING REQUIREMENTS UNDER RULE 351(e) RELATING TO RULE 342.21(b) INTERNAL INVESTIGATIONS
13 Feb 2006 Rule 475;
Rule 476  
  UPDATED - AMENDMENTS TO NYSE CONSTITUTION ARTICLE IX AND RULES 475 AND 476 CONCERNING DISCIPLINARY PROCEEDINGS
03 Feb 2006 Rule 445     AMENDMENTS TO RULE 445 ("ANTI-MONEY LAUNDERING COMPLIANCE PROGRAM")
03 Jan 2006 Rule 80A;
Rule 80B  
  NEW RULE 80A COLLARS AND RULE 80B CIRCUIT BREAKER LEVELS FOR FIRST QUARTER 2006
22 Dec 2005 Rule 342     AMENDMENTS TO THE INTERPRETATION OF RULE 342 RELATING TO "LIMITED PURPOSE OFFICES"
16 Dec 2005 Rule 342     AMENDMENTS TO NYSE RULE 342.30 - ANNUAL REPORT; CHIEF COMPLIANCE OFFICER DESIGNATION; CHIEF EXECUTIVE OFFICER CERTIFICATION
16 Dec 2005 Rule 282;
Rule 284;
Rule 289;
Rule 290  
  AMENDMENTS TO "BUY-IN" RULES
14 Dec 2005 Rule 70     HYBRID MARKET IMPLEMENTATION - PHASE I PILOT- BROKER AGENCY INTEREST FILES, SYSTEMIC INTEGRATION OF PRIORITY, PARITY & YIELDING REQUIREMENTS, MANUAL S-QUOTES, SYSTEMIC EXECUTION OF ELECTED STOP & CAP-DI ORDERS, AUTO-CONVERSION & EXECUTON OF CAP-DI ORDERS
13 Dec 2005 Rule 123C     Expiration Friday - Decemeber 16, 2005 - Rule 123C
12 Dec 2005 Rule 460     RULE 460.25 - SPECIALIST BUSINESS TRANSACTIONS WITH AN ETF SPONSOR
09 Dec 2005 Rule 13;
Rule 36;
Rule 98;
Rule 104;
Rule 105;
Rule 123;
Rule 132B;
Rule 132C;
Rule 460;
Rule 1002;
Rule 1005;
Rule 1300;
Rule 1301  
  Trading of Euro Currency Trust Shares and Rules 1300A and 1301A
09 Dec 2005 Rule 103;
Rule 476A  
  Addition of Rule 103.12 to the List of Minor Rule Violations under Rule 476A
01 Dec 2005 Rule 607     AMENDMENTS TO RULE 607 CONCERNING THE METHOD OF ARBITRATOR SELECTION
28 Nov 2005 Rule 13;
Rule 36;
Rule 80B;
Rule 98;
Rule 104;
Rule 105;
Rule 123C;
Rule 123D;
Rule 200;
Rule 405;
Rule 440B;
Rule 460;
Rule 1100  
  LISTING OF FORTY iSHARES FUNDS (EXCHANGE TRADED FUNDS)
23 Nov 2005 Rule 107A;
Rule 110;
Rule 111  
  MORATORIUM ON REGISTERING NEW COMPETITIVE TRADERS AND REGISTERED COMPETITIVE MARKET MAKERS
10 Nov 2005 Rule 123     APPROVAL OF NEW RULE 123G (ORDER ENTRY PRACTICES)
10 Nov 2005 Rule 103     AMENDMENT OF RULE 103 - TEMPORARY REALLOCATION OF SECURITIES AMONG SPECIALISTS
26 Oct 2005 Rule 108     SPECIALIST AND FLOOR BROKER OBLIGATIONS IN CONNECTION WITH SPECIALIST PARITY WITH ORDERS REPRESENTED IN THE CROWD UNDER RULE 108
06 Oct 2005 Rule 103     RECORDING OF SPECIALIST AND SPECIALIST CLERK TIME ON TRADING FLOOR (RULE 103.12)
06 Oct 2005 Rule 342     BRANCH OFFICE DEFINITION
03 Oct 2005 Rule 80A;
Rule 80B  
  NEW RULE 80A COLLARS AND RULE 80B CIRCUIT BREAKER LEVELS FOR FOURTH QUARTER 2005
26 Sep 2005 Rule 80A     AMENDMENTS TO RULE 80A (INDEX ARBITRAGE TRADING RESTRICTIONS)
19 Sep 2005 Rule 352     AMENDMENTS TO RULE 352
16 Sep 2005 Rule 311     AMENDMENTS TO RULE 311
15 Sep 2005 Rule 13;
Rule 79A;
Rule 123B;
Rule 806  
  ELIMINATION OF ALL OR NONE AND FILL OR KILL ORDER TYPES FOR EQUITY MARKET (NYSE RULES 13, 79A.15, 123B, AND 806)
14 Sep 2005 Rule 123C     EXPIRATION FRIDAY - SEPTEMBER 16, 2005 - EXCHANGE RULE 123C
02 Sep 2005 Rule 418     APPROVAL OF RULE 418.25 WHICH REQUIRES MEMBER ORGANIZATIONS THAT HAVE ELECTED TO BE SUPERVISED ON A CONSOLIDATED BASIS TO FILE SUPPLEMENTAL AND ALTERNATIVE REPORTS WITH THE EXCHANGE
26 Aug 2005 Rule 396     RESCISSION OF NYSE RULE 396 (NINE BOND RULE)
25 Aug 2005 Rule 629     AMENDMENTS TO RULE 629 CONCERNING THE ESTABLISHMENT OF PROCESSING FEES WHEN PROPOSED ARBITRATORS ARE NAMED AND HEARING DATES ARE SCHEDULED
25 Aug 2005 Rule 13;
Rule 1005;
Rule 1300  
  ELIMINATION OF ORDER SIZE AND FREQUENCY RESTRICTIONS WITH RESPECT TO ORDERS IN ETFS ENTERED FOR EXECUTION VIA NYSE DIRECT+ (NYSE RULES 13, 1005 AND 1300)
19 Aug 2005 Rule 607     VOLUNTARY SUPPLEMENTAL PROCEDURES FOR SELECTING ARBITRATORS
19 Aug 2005 Rule 907     AMENDMENT TO CROSSING SESSIONS II, III AND IV IN THE OFF-HOUR TRADING FACILITY (RULE 907)
30 Jun 2005 Rule 86     RULE 86 - AUTOMATED BOND SYSTEM
08 Jun 2005 Rule 104     SPECIALIST DESTABILIZING DEALER TRADES IN EXCHANGE TRADED FUNDS - RULE 104
11 Apr 2005 Rule 600     ARBITRATION - EXTENSION OF PILOT - WAIVER OF CALIFORNIA ETHICS STANDARDS FOR NEUTRAL ARBITRATORS
06 Apr 2005 Rule 629     AMENDMENTS TO RULE 629 CONCERNING INCREASED ARBITRATION FILING FEES AND HEARING DEPOSITS, AND THE IMPOSITION OF MEMBER ORGANIZATION SURCHARGES PERTAINING TO ARBITRATION CLAIMS
28 Mar 2005 Rule 13;
Rule 60;
Rule 72  
  RESCISSION OF XPRESS ORDER TYPE
04 Mar 2005 Rule 607     VOLUNTARY SUPPLEMENTAL PROCEDURES FOR SELECTING ARBITRATORS
07 Jan 2005 Rule 104;
Rule 123  
  SPECIALIST PARITY TRANSACTIONS - RULES 104 AND 123
03 Jan 2005 Rule 80A;
Rule 80B  
  NEW RULE 80A COLLARS AND RULE 80B CIRCUIT BREAKER LEVELS FOR FIRST QUARTER 2005
03 Dec 2004 Rule 342;
Rule 401;
Rule 408;
Rule 410  
  NEW EFFECTIVE DATE FOR INTERNAL CONTROLS AMENDMENTS
29 Oct 2004 Rule 345A     AMENDMENTS TO RULE 345A THAT RESCIND ALL EXEMPTIONS FROM PARTICIPATION IN CONTINUING EDUCATION REGULATORY ELEMENT PROGRAMS
06 Oct 2004 Rule 123A     Use of Percentage Orders at the Opening - Rule 123A.30
29 Sep 2004 Rule 600     ARBITRATION - EXTENSION OF PILOT - WAIVER OF CALIFORNIA ETHICS STANDARDS FOR NEUTRAL ARBITRATORS
29 Sep 2004 Rule 122     CORRECTION TO INFORMATION MEMO NO. 04-46 FOR RULE 122
16 Sep 2004 Rule 122     Amendment To Exchange Rule 122
26 Aug 2004 Rule 440B     EXPIRATION OF SHORT EXEMPTION (EXCHANGE RULE 440B/SEC RULE 10a-1)
26 Jul 2004 Rule 342;
Rule 401;
Rule 408;
Rule 410  
  AMENDMENTS TO RULES 342, 401, 408 AND 410 RELATING TO SUPERVISION AND INTERNAL CONTROLS
26 Jul 2004 Rule 132B     ORDER TRACKING SYSTEM - RULE 132B - EXCEPTION FOR BONDS
17 Jun 2004 Rule 124     ODD-LOT PRICING (RULE 124)
14 Jun 2004 Rule 900;
Rule 907  
  TWO NEW "CROSSING SESSIONS" IN THE OFF-HOURS TRADING FACILITY (RULES 900 & 907)
14 Apr 2004 Rule 62     RULE 62 (MINIMUM PRICE VARIATIONS)
08 Apr 2004 Rule 412     AMENDMENTS TO RULE 412 ("CUSTOMER ACCOUNT TRANSFER CONTRACTS") AND ITS INTERPRETATION
08 Apr 2004 Rule 350     AMENDMENTS TO RULE 350 ("COMPENSATION OR GRATUITIES TO EMPLOYEES OF OTHERS")
20 Feb 2004 Rule 15A     AMENDMENT TO RULE 15A
03 Feb 2004 Rule 130     TIMELY SUBMISSION OF TRADE DATA TO COMPARISON - EXCHANGE RULE 130
31 Dec 2003 Rule 344     RULE 344 - RESEARCH ANALYST QUALIFICATION EXAMINATION REQUIREMENT ("SERIES 86/87")
23 Dec 2003 Rule 78     TAX SWITCHING TRANSACTIONS
01 Oct 2003 Rule 600     ARBITRATION - EXTENSION OF PILOT - WAIVER OF CALIFORNIA ETHICS STANDARDS FOR NEUTRAL ARBITRATORS
29 Sep 2003 Rule 345A     NEW INTERPRETATION OF RULE 345A - CONTINUING EDUCATION QUALIFICATION REQUIREMENTS RELATED TO SECURITY FUTURES CONTRACTS
29 Sep 2003 Rule 431     AMENDMENTS TO RULE 431 ("MARGIN REQUIREMENTS") REGARDING "GOOD FAITH" SECURITIES
19 Sep 2003 Rule 351     RULE 351(D) - REPORTS OF CUSTOMER COMPLAINT STATISTICS
25 Aug 2003 Rule 472     RULE 472 - AMENDMENTS TO DISCLOSURE AND REPORTING REQUIREMENTS
08 Aug 2003 Rule 476A     AMENDMENTS TO THE RULE 476A FINE SCHEDULE AND ADDITIONS TO THE LIST OF RULES SUBJECT TO THE IMPOSITION OF FINES FOR MINOR VIOLATIONS UNDER RULE 476A PROCEDURES
14 Jul 2003 Rule 123E     AMENDMENTS TO SPECIALIST COMBINATION REVIEW POLICY - RULE 123E
10 Jul 2003 Rule 472     RULE 472 - GATEKEEPER REQUIREMENTS
20 Jun 2003 Rule 13;
Rule 1002;
Rule 1005  
  AMENDMENTS TO NYSE DIRECT+
10 Jun 2003 Rule 123;
Rule 132  
  EXECUTION REPORT DROP COPY AND ORDER TRACKING SYSTEM
03 Jun 2003 Rule 1000     DISENGAGEMENT OF NYSE DIRECT+
30 May 2003 Rule 609;
Rule 610;
Rule 619  
  AMENDMENTS TO NYSE ARBITRATION RULES
19 May 2003 Rule 600     ARBITRATION - EXTENSION OF PILOT - WAIVER OF CALIFORNIA ETHICS STANDARDS FOR NEUTRAL ARBITRATORS
07 May 2003 Rule 130     TIMELY SUBMISSION OF TRADE DATA TO COMPARISON - EXCHANGE RULE 130
06 May 2003 Rule 123     ELIMINATION OF EXCEPTION TO RULE 123(E) FOR EXCHANGE-TRADED FUNDS
06 May 2003 Rule 36     I. AMENDED RULE 36 (COMMUNICATIONS BETWEEN EXCHANGE AND MEMBERS' OFFICES) - CELL PHONES, AND REQUIREMENTS FOR CONDUCTING A PUBLIC BUSINESS II. CLARIFICATION OF RECENT SEC BOOKS AND RECORDS RULES
25 Mar 2003     APRIL 1ST REPORTING REQUIREMENT - RULES 351 & 472
25 Mar 2003     AMENDMENTS TO PROXY RULES
17 Mar 2003     ELECTRONIC FILING PLATFORM FOR DAILY PROGRAM TRADE REPORTING AND THE EXECUTION OF CROSSING SESSION II TRADES - RULES 476(A)11, 476A, AND 80A
14 Mar 2003     MID-YEAR RATE ADJUSTMENT TO SEC SECTION 31 TRANSACTION FEES
05 Mar 2003     ELECTRONIC LOGS AND RECORD RETENTION
27 Feb 2003 Rule 123D     AMENDMENT TO RULE 123D, OPENINGS AND HALTS IN TRADING
25 Feb 2003     ARBITRATION: ADMINISTRATIVE CONFERENCES AND MEDIATION
20 Feb 2003     LIFTING OF THE TEMPORARY MORATORIUM ON INFORMATION REQUESTS UNDER SECTION 314 OF THE USA PATRIOT ACT
02 Dec 2002 Rule 97     RULE 97 - LIMITATION OF MEMBERS' TRADING BECAUSE OF BLOCK POSITIONING
29 Nov 2002 Rule 472     RULE 472 - DISCLOSURE AND REPORTING REQUIREMENTS
12 Nov 2002 Rule 342     RECOGNITION OF SERIES 24 EXAMINATION
01 Oct 2002 Rules 80A and 80B     NEW RULE 80A COLLARS AND RULE 80B CIRCUIT BREAKER LEVELS FOR FOURTH QUARTER 2002
28 Aug 2002 Rules 407     AMENDMENTS TO RULE 407 RELATING TO PRIVATE SECURITIES TRANSACTIONS
05 Aug 2002 Rules 13, 36.30, 98, 104, 105(L), 460 and 1100     TRADING OF NEW EXCHANGE-TRADED FUNDS: RULES 13, 36.30, 98, 104, 105(L), 460, 1100, MARKET-ON-CLOSE/LIMIT-AT-THE-CLOSE POLICY/ PRE-OPENING PRICE INDICATIONS POLICY
01 Aug 2002 Rule 72(b)     "CLEAN" CROSS TRANSACTIONS RULE 72(B)
24 Jul 2002 Rule 227     AMENDMENTS TO RULE 227 ("DEPOSITORY ELIGIBILITY")
09 Jul 2002 Rule 472, 351 and 2711     ANALYST AND MEMBER/MEMBER ORGANIZATION DISCLOSURE AND REPORTING REQUIREMENTS
08 Jul 2002 Rule 351     EXCHANGE RULE 351 - REPORTING REQUIREMENTS
06 May 2002 Rule 445     APPROVAL OF NEW RULE 445 - ANTI-MONEY LAUNDERING COMPLIANCE PROGRAM
15 Apr 2002 Rules 13, 36, 30, 98, 104, 105(L), 460, 1200, 1201, 1202     TRADING OF HOLDING COMPANY DEPOSITARY RECEIPTS (HOLDRS): RULES 13, 36.30, 98, 104, 105(L), 460, 1200, 1201, 1202, MARKET-ON-CLOSE/LIMIT-AT-THE-CLOSE POLICY/ PRE-OPENING PRICE INDICATIONS POLICY, 703.20 OF THE LISTED COMPANY MANUAL, ALLOCATION POLICY
14 Mar 2002 Rule 902     AMENDMENT TO RULE 902
06 Mar 2002 Rule 105     AMENDMENT OF PARAGRAPH (L) OF THE GUIDELINES TO EXCHANGE RULE 105 (SPECIALISTS' SPECIALTY STOCK OPTION TRANSACTIONS)
05 Mar 2002 Rule 134.40     RULE 134.40 - REPORTING PROFITABLE ERROR TRANSACTIONS
25 Feb 2002 Rule 440H     AMENDMENT TO EXCHANGE RULE 440H (TRANSACTION FEES)
17 Jan 2002 Rule 123     ELECTRONIC CAPTURE OF ORDERS ON THE FLOOR - RULE 123
07 Jan 2002 Rules 134, 407A and 411     NEW IMPLEMENTATION DATE FOR: MANDATORY ERROR ACCOUNT PROCEDURES, ERROR TRANSACTION PROCEDURES, RECORDKEEPING REQUIREMENTS, DISCLOSURE OF ALL MEMBER ACCOUNTS, AND PROCEDURES FOR HANDLING ERRONEOUS REPORTS/ RULES 134, 407A, AND 411
28 Nov 2001 Rule 123     ELECTRONIC CAPTURE OF ORDERS ON THE FLOOR/ RULE 123
21 Nov 2001 Rule 476A     ADDITIONS TO THE LIST OF RULES SUBJECT TO THE IMPOSITION OF FINES FOR MINOR VIOLATIONS UNDER RULE 476A PROCEDURES
06 Nov 2001 Rules 134, 407A and 411     MANDATORY ERROR ACCOUNT REQUIREMENT, ERROR TRANSACTION PROCEDURES, RECORDKEEPING REQUIREMENTS, DISCLOSURE OF ALL MEMBER ACCOUNTS, AND PROCEDURES FOR HANDLING ERRONEOUS REPORTS/ RULES 134, 407A, AND 411
08 Oct 2001 Rule 92     REVISED EFFECTIVE DATE AMENDMENT OF RULE 92: LIMITATION ON MEMBER'S TRADING BECAUSE OF CUSTOMERS' ORDER
04 Oct 2001 Rule 342     AMENDMENT TO NYSE RULE 342 - COMPLIANCE OFFICIAL QUALIFICATION
01 Oct 2001 Rule 123     ELECTRONIC CAPTURE OF ORDERS ON THE FLOOR/ RULE 123
16 Aug 2001 Rule 412     AMENDMENTS TO THE INTERPRETATION OF RULE 412 ("CUSTOMER ACCOUNT TRANSFER CONTRACTS")
09 Aug 2001 Rule 92     AMENDMENT OF RULE 92: LIMITATION ON MEMBER'S TRADING BECAUSE OF CUSTOMERS' ORDER
31 Jul 2001 Rules 13, 36, 30, 98, 104, 105(L) and 1100     TRADING IN EXCHANGE TRADED FUNDS ("ETFS"): RULES 13, 36.30, 98, 104, 105(L), 1100, AND MARKET-ON-CLOSE/LIMIT-AT-THE-CLOSE POLICY
09 Jul 2001 Rules 13 and 72     XPRESS ORDERS RULE 13 RULE 72
25 Jun 2001 Rule 123     ELECTRONIC CAPTURE OF ORDERS ON THE FLOOR/RULE 123 NYSE SYSTEMS TEST SATURDAY JULY 28, 2001
21 Jun 2001 Rule 351(D)     RULE 351(D) - ADDITIONAL COMPLAINT CODES/THIRD CATEGORY OF COMPLAINTS
02 Apr 2001 Rule 431     AMENDMENTS TO RULE 431 ("MARGIN REQUIREMENTS") REGARDING "DAY TRADING"
26 Mar 2001 Rule 416     RULE 416 LATE FEE INCREASE
07 Mar 2001 Rule 345A     REVISED INTERPRETATION TO RULE 345A - CONTINUING EDUCATION FOR REGISTERED PERSONS
01 Feb 2001 Rule 123     ELECTRONIC CAPTURE OF ORDERS ON THE FLOOR/RULE 123
11 Jan 2001 Rules 638 and 639     AMENDMENTS TO NYSE PILOT PROGRAMS FOR MEDIATION (RULE 638) AND ADMINISTRATIVE CONFERENCES (RULE 639)
12 Sep 2000 Form AP-1     REVISIONS TO FORM AP-1
21 Aug 2000 Rule 104     AMENDMENTS TO RULE 104 - SPECIALIST CAPITAL REQUIREMENTS
21 Jun 2000 Rule 902     CROSSING SESSION COUPLED ORDERS
12 Jun 2000 Rule 103A     RULE 103A AMENDEMENTS: SPECIALIST STOCK REALLOCATION
06 Apr 2000 Rule 431     AMENDMENTS TO RULE 431 ("MARGIN REQUIREMENTS") REGARDING JOINT BACK OFFICE ("JBO") ARRANGEMENTS, CONTROL AND RESTRICTED SECURITIES AND BROKER-DEALER MARGIN REQUIREMENTS
28 Feb 2000 Rule 123A.40     FLOOR OFFICIAL APPROVAL FOR STOP ORDER ELECTIONS
07 Jan 2000 Rule 476A     ADDITIONS TO THE LIST OF RULES SUBJECT TO THE IMPOSITION OF FINES FOR MINOR VIOLATIONS UNDER RULE 476A PROCEDURES
31 Dec 1999 Rule 431     AMENDMENTS TO RULE 431 ("MARGIN REQUIREMENTS") REGARDING OPTIONS
01 Jul 1999 Rule 382     ADOPTION OF AMENDMENTS TO RULE 382 ("CARRYING AGREEMENTS")
22 Jun 1998 Rule 345A     ADOPTION OF AMENDMENTS TO RULE 345A ("CONTINUING EDUCATION FOR REGISTERED PERSONS")
13 Apr 1998 Rule 80B     AMENDMENTS TO RULE 80B
07 Apr 1998 Rule 431     AMENDMENTS TO RULE 431 ("MARGIN REQUIREMENTS")
30 Jan 1998 Rule 80B     AMENDMENTS TO RULE 80B
30 Oct 1997 Rule 79A     AMENDMENTS TO RULE 79A
02 Oct 1997 Rule 140     AMENDMENT TO RULE 104.10(5)
30 Jul 1997 Rule 392;
Rule 460  
  EXCHANGE NOTIFICATION REQUIREMENTS FOR OFFERINGS AND DISTRIBUTIONS
21 Jul 1997     ALLOCATION POLICY AND PROCEDURES
24 Jun 1997 SEA Rule 15c3-1     AMENDMENTS TO SEA RULE 15C3-1 NET CAPITAL "OPTIONS HAIRCUTS" EFFECTIVE SEPTEMBER 1, 1997
24 Jun 1997 Rule 62;
Rule 95;
Rule 118;
Rule 127;
Rule 440B  
  CHANGE TO MINIMUM TRADING VARIATION
14 May 1997 Rule 440A;
Rule 472  
  PROPOSED AMENDMENTS TO RULE 440A (TELEPHONE SOLICITATION) AND AN INTERPRETATION TO RULE 472 (COMMUNICATIONS WITH THE PUBLIC)
08 May 1997     NEW TEN-MINUTE INDICATION PROCEDURES
07 Mar 1997     ALLOCATION POLICY AND PROCEDURES
03 Feb 1997 Rule 80B     AMENDMENTS TO RULE 80B