| 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 |
