NYSE Rule Filings

Below are posted selected proposed rule changes, called 19b-4 filings, filed by the NYSE with the U.S. Securities and Exchanges Commission (SEC). 19b-4 filings relate to proposed changes to the NYSE Rules and Interpretations, Listing Standards, Fees and certain other matters.

Please note that these proposed rule changes have not been approved by the SEC unless specifically stated otherwise below. In addition, the rule filings that are eventually published in the Federal Register by the SEC may differ from the text posted here. You may also navigate to the SEC webpage on proposed NYSE rule changes: www.sec.gov/rules/sro/nyse.shtml.

To view PDF files, please use Adobe Acrobat Reader (which you may download for free).

pdfAmendment No. 7 of the Plan to Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS Under the Securities Exchange Act of 1934

pdfAmendment No. 5 of the Plan to Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS Under the Securities Exchange Act of 1934

pdfAmendment No. 4 of the Plan to Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS Under the Securities Exchange Act of 1934


pdf SR-NYSE-2014-23; Filed: 23 Apr 2014.  Release No.  --  Proposed Rule Change in connection with the change in name of the Exchange’s ultimate parent entity to Intercontinental Exchange Holdings, Inc. NYX Holdings will change its name to NYSE Holdings LLC. (pdf)
pdf SR-NYSE-2014-22; Filed: 21 Apr 2014.  Release No.  --  Proposal to add new paragraphs (j) and (k) to Rule 128, entitled “Clearly Erroneous Executions For NYSE Equities.” (pdf)
pdf 22 Apr 2014 Approval of: SR-NYSE-2014-21; Release No. 34-34-71989-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Rule 343 and Its Interpretation to Harmonize the NYSE's Rules with Changes by Financial Industry Regulatory Authority, Inc. to Amend the Uniform Branch Office Registration Form (pdf)
pdf SR-NYSE-2014-21; Filed: 11 Apr 2014.  Release No. 34-34-71989 --  Proposal to delete NYSE Rule 343 and its interpretation to harmonize the NYSE’s rules with changes by Financial Industry Regulatory Authority, Inc. (“FINRA”) to amend the Uniform Branch Office Registration Form (“Form BR”). (pdf)
pdf 22 Apr 2014 Approval of: SR-NYSE-2014-20; Release No. 34-71986-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules 9268, 9559, and 9620 to conform the Exchange's rules to changes recently adopted by the Financial Industry Regulatory Authority, Inc. (pdf)
pdf SR-NYSE-2014-20; Filed: 11 Apr 2014.  Release No. 34-71986 --  Proposal to amend Rules 9268, 9559, and 9620 to conform the Exchange’s rules to changes recently adopted by the Financial Industry Regulatory Authority, Inc. (“FINRA”). (pdf)
pdf 07 Apr 2014 Approval of: SR-NYSE-2014-18; Release No. 34-71890-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List for Certain Executions at the Opening (pdf)
pdf Federal Register Publication of: SR-NYSE-2014-18 - 79 FR 20283 (11 Apr 2014) (pdf)
pdf SR-NYSE-2014-18; Filed: 26 Mar 2014.  Release No. 34-71890 --  Proposal to amend its Price List for certain executions at the opening. The Exchange proposes to implement the fee change effective April 1, 2014 (pdf)
pdf 27 Mar 2014 Approval of: SR-NYSE-2014-17; Release No. 34-71821-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending a Pilot Program Related to Rule 128, entitled "Clearly Erroneous Executions For NYSE Equities" (pdf)
pdf Federal Register Publication of: SR-NYSE-2014-17 - 79 FR 18592 (02 Apr 2014) (pdf)
pdf SR-NYSE-2014-17; Filed: 26 Mar 2014.  Release No. 34-71821 --  Proposal to extend a pilot program related to Rule 128, entitled “Clearly Erroneous Executions For NYSE Equities.” (pdf)
pdf 08 Apr 2014 Approval of: SR-NYSE-2014-16; Release No. 34-71897-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 Governing Pegging Interest (pdf)
pdf Federal Register Publication of: SR-NYSE-2014-16 - 79 FR 20953 (14 Apr 2014) (pdf)
pdf SR-NYSE-2014-16; Filed: 25 Mar 2014.  Release No. 34-71897 --  Proposal to amend Rule 13 (Orders and Modifiers) governing Pegging Interest. (pdf)
pdf 04 Apr 2014 Approval of: SR-NYSE-2014-15; Release No. 34-71879-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Introduce a New Credit for Certain Retail Providing Liquidity on the Exchange (pdf)
pdf Federal Register Publication of: SR-NYSE-2014-15 - 79 FR 19947 (10 Apr 2014) (pdf)
pdf SR-NYSE-2014-15; Filed: 24 Mar 2014.  Release No. 34-71879 --  Proposal to amend its Price List to introduce a new credit for certain retail providing liquidity on the Exchange. The Exchange proposes to implement the fee change effective April 1, 2014. (pdf)
pdf SR-NYSE-2014-12; Filed: 17 Mar 2014.  Release No.  --  Proposal to amend Rule 98 to adopt a principles-based approach to prohibit the misuse of material nonpublic information and make conforming changes to other Exchange Rules. (pdf)
pdf 11 Mar 2014 Approval of: SR-NYSE-2014-11; Release No. 34-71689-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Modify the Current Adding Credit Tiers and Add a New Adding Credit Tier (pdf)
pdf Federal Register Publication of: SR-NYSE-2014-11 - 79 FR 14772 (17 Mar 2014) (pdf)
pdf SR-NYSE-2014-11; Filed: 28 Feb 2014.  Release No. 34-71689 --  Proposal to amend its Price List to modify the current adding credit tiers and add a new adding credit tier. (pdf)
pdf 13 Mar 2014 Approval of: SR-NYSE-2014-10; Release No. 34-71718-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Specify Pricing Applicable to Executions of Mid-Point Passive Liquidity Orders Against Retail Orders within the Retail Liquidity Program, effective March 1, 2014 (pdf)
pdf Federal Register Publication of: SR-NYSE-2014-10 - 79 FR 15365 (19 Mar 2014) (pdf)
pdf SR-NYSE-2014-10; Filed: 28 Feb 2014.  Release No. 34-71718 --  Proposal to amend the NYSE Price List to specify pricing applicable to executions of Mid-Point Passive Liquidity (“MPL”) Orders against Retail Orders within the Retail Liquidity Program. The Exchange proposes to implement the fee change effective March 1, 2014. (pdf)
pdf 11 Mar 2014 Approval of: SR-NYSE-2014-09; Release No. 34-71684-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Price List and to Make the Fee Changes Operative March 1, 2014 (pdf)
pdf Federal Register Publication of: SR-NYSE-2014-09 - 79 FR 14758 (17 Mar 2014) (pdf)
pdf SR-NYSE-2014-09; Filed: 24 Feb 2014.  Release No. 34-71684 --  Proposal to amend the NYSE price list. (pdf)
pdf SR-NYSE-2014-08; Filed: 27 Feb 2014.  Release No.  --  Proposal to make permanent its pilot program regarding its bond trading license and the Bond Liquidity Provider programs pursuant to Rules 87 and 88. (pdf)
pdf 05 Feb 2014 Approval of: SR-NYSE-2014-07; Release No. 34-71488-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 13 to Modify The Manner By Which MPL-ALO Orders Trade When Triggered By Arriving Interest (pdf)
pdf Federal Register Publication of: SR-NYSE-2014-07 - 79 FR 8215 (11 Feb 2014) (pdf)
pdf SR-NYSE-2014-07; Filed: 31 Jan 2014.  Release No. 34-71488 --  Proposal to amend NYSE Rule 13 to modify the manner by which MPL-ALO Orders trade when triggered by arriving interest (pdf)
pdf 31 Jan 2014 Approval of: SR-NYSE-2014-06; Release No. 34-71454-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List to Increase the Credit for Agency Cross Trades; Increase the Fee for Certain Executions at the Close; Increase the "Tier 1 Adding Credit;" Increase the Fee for Certain Floor broker Discretionary e-Quotes; Increase the Credit for Certain Floor broker Executions that Add Liquidity; Increase the Credit for Certain Supplemental Liquidity Provider Executions; (pdf)
pdf Federal Register Publication of: SR-NYSE-2014-06 - 79 FR 7246 (06 Feb 2014) (pdf)
pdf SR-NYSE-2014-06; Filed: 23 Jan 2014.  Release No. 34-71454 --  Proposal to amend its Price List to (i) increase the credit for agency cross trades; (ii) increase the fee for certain executions at the close; (iii) increase the “Tier 1 Adding Credit;” (iv) increase the fee for certain Floor broker discretionary e-Quotes (v) increase the credit for certain Floor broker executions that add liquidity; (vi) increase the credit for certain Supplemental Liquidity Provider executions; and (vii) increase the fee for executions in Crossing Session II. (pdf)
pdf 31 Jan 2014 Approval of: SR-NYSE-2014-05; Release No. 34-71452--- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Introduce Fees and Credits for A New Order Type Called a Midpoint Passive Liquidity Order (pdf)
pdf Federal Register Publication of: SR-NYSE-2014-05 - 79 FR 7267 (06 Feb 2014) (pdf)
pdf SR-NYSE-2014-05; Filed: 22 Jan 2014.  Release No. 34-71452- --  Proposal to amend its Price List to introduce fees for a new order type called a Midpoint Passive Liquidity (“MPL”) Order. The proposed fees would be operative on January 27, 2014. (pdf)
pdf 13 Mar 2014 Approval of: SR-NYSE-2014-04; Release No. 34-71721-- Order Granting Approval of Proposed Rule Change Relating to a Corporate Action in which Its Indirect Parent, NYSE Euronext Holdings LLC, Will Become a Wholly-Owned Subsidiary of IntercontinentalExchange, Inc. (pdf)
pdf Federal Register Publication of: SR-NYSE-2014-04 - 79 FR 15367 (19 Mar 2014) (pdf)
pdf SR-NYSE-2014-04; Filed: 17 Jan 2014.  Release No. 34-71721 --  Proposal relating to IntercontinentalExchange Group, Inc., a Delaware corporation (“ICE Group”) of its 100% membership interest in NYSE Euronext Holdings LLC, a Delaware limited liability company (“NYX Holdings”), which is an indirect owner of a 100% interest in the Exchange, to another wholly owned subsidiary of ICE Group, IntercontinentalExchange, Inc., a Delaware corporation (“ICE Inc.”). (pdf)
pdf 21 Jan 2014 Approval of: SR-NYSE-2014-03; Release No. 34-71362-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Extend the Operation of its Supplemental Liquidity Providers Pilot, Currently Scheduled to Expire on January 31, 2014, Until the Earlier of the Securities and Exchange Commission's Approval to Make Such Pilot Permanent or July 31, 2014 (pdf)
pdf Federal Register Publication of: SR-NYSE-2014-03 - 79 FR 4371 (30 Jan 2014) (pdf)
pdf SR-NYSE-2014-03; Filed: 06 Jan 2014.  Release No.  34-71362 --  Proposal to extend the operation of its Supplemental Liquidity Providers Pilot (“SLP Pilot” or “Pilot”) (See Rule 107B), currently scheduled to expire on January 31, 2014, until the earlier of the Securities and Exchange Commission’s (“Commission”) approval to make such Pilot permanent or July 31, 2014. (pdf)
pdf 27 Feb 2014 Approval of: SR-NYSE-2014-02; Release No. 34-71620-- Order Granting Approval of Proposed Rule Change Amending Supplementary Material .20 to NYSE Rule 103 Setting Forth Net Liquid Assets Requirements for Member Organizations that Operate as Designated Market Maker Units (pdf)
pdf Federal Register Publication of: SR-NYSE-2014-02 - 79 FR 12554 (05 Mar 2014) (pdf)
pdf SR-NYSE-2014-02; Filed: 06 Jan 2014.  Release No. 34-71620 --  Proposal to amend Supplementary Material .20 to Rule 103 (“Rule 103.20”), which sets forth net liquid assets requirements for member organizations that operate as Designated Market Maker (“DMM”) units (“DMM units”). (pdf)
pdf 17 Jan 2014 Approval of: SR-NYSE-2014-01; Release No. 34-71345-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Extend the Operation of its New Market Model Pilot Until the Earlier of Securities and Exchange Commission Approval to Make Such Pilot Permanent or July 31, 2014 (pdf)
pdf Federal Register Publication of: SR-NYSE-2014-01 - 79 FR 4221 (24 Jan 2014) (pdf)
pdf SR-NYSE-2014-01; Filed: 06 Jan 2014.  Release No. 34-71345 --  Proposal to extend the operation of its New Market Model Pilot, currently scheduled to expire on January 31, 2014, until the earlier of Securities and Exchange Commission approval to make such pilot permanent or July 31, 2014. (pdf)