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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).

	SR-NYSE-2013-35; Filed: 20 May 2013. Proposal to amend its Price List related to certain pricing applicable to Supplemental Liquidity Providers (“SLPs”) on the Exchange. The Exchange proposes to implement the fee change effective June 1, 2013. (pdf)
	SR-NYSE-2013-34; Filed: 21 May 2013. Proposal to permit traders conducting certain futures and options trading on ICE Futures U.S. in space rented from the Exchange at 20 Broad Street to access the IFUS Trading Floor prior to 7 a.m. via the Exchange’s 11 Wall Street facilities and to permit additional IFUS traders to conduct business on the IFUS Trading Floor. (pdf)
	SR-NYSE-2013-33; Filed: 30 Apr 2013. Proposal to delete the sections in the Listed Company Manual containing the listing application materials and adopt updated listing application materials that will be posted on the Exchange’s website (pdf)
	SR-NYSE-2013-32; Filed: 09 May 2013. Proposing an amendment to the bylaws of its wholly-owned subsidiary NYSE Regulation, Inc. to eliminate a requirement that not less than two members of the board of directors of NYSE Regulation must qualify as “fair representation candidates”. (pdf)
	02 May 2013 Approval of: SR-NYSE-2013-30; Release No. 34-69502-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 to Expand the Availability of Self- Trade Prevention Modifiers (pdf)
	Federal Register Publication of: SR-NYSE-2013-30 - 78 FR 26818 (08 May 2013) (pdf)
	SR-NYSE-2013-30; Filed: 22 Apr 2013. Release No. 34-69502 -- Proposed Rule Change Amending Rule 13 to Expand the Availability of Self Trade Prevention (“STP”) Modifiers (pdf)
	SR-NYSE-2013-29; Filed: 10 Apr 2013. Proposal to delete NYSE Rule 476(a)(8), which addresses wash sales, in order to harmonize the Exchange’s rules with the rules of the Financial Industry Regulatory Authority (“FINRA”). (pdf)
	04 Apr 2013 Approval of: SR-NYSE-2013-27; Release No. 34-69295-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 1000 (pdf)
	Federal Register Publication of: SR-NYSE-2013-27 - 78 FR 21457 (10 Apr 2013) (pdf)
	SR-NYSE-2013-27; Filed: 02 Apr 2013. Release No. 34-69295 -- Proposal to phase out the functionality associated with liquidity replenishment points (“LRPs”) to coincide with the implementation of the Limit Up – Limit Down Plan (the “Plan”) by adding language to NYSE Rule 1000 that, beginning on April 8, 2013, LRPs will no longer be in effect for Tier 1 NMS Stocks, and on the earlier of August 1, 2013 or such date as Phase II of the Limit Up – Limit Down Plan is implemented, LRPs will no longer be in effect for all NMS Stocks (pdf)
	15 Apr 2013 Approval of: SR-NYSE-2013-26; Release No. 34-69372-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Provide Relief for Floor Brokers from the Annual Telephone Line Charge for January, February and March 2013 (pdf)
	Federal Register Publication of: SR-NYSE-2013-26 - 78 FR 23620 (19 Apr 2013) (pdf)
	SR-NYSE-2013-26; Filed: 02 Apr 2013. Release No. 34-69372 -- Proposal to amend its Price List to provide relief for Floor brokers from the Annual Telephone Line Charge for January, February and March 2013, which the Exchange proposes to become operative as of January 1, 2013. (pdf)
	02 Apr 2013 Approval of: SR-NYSE-2013-25; Release No. 34-69278-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Non-Display Usage Fees for NYSE OpenBook, NYSE Trades, and NYSE BBO and a Redistribution Fee for NYSE OpenBook (pdf)
	SR-NYSE-2013-25; Filed: 21 Mar 2013. Release No. 34-69278 -- Proposal to establish non-display usage fees for NYSE OpenBook, NYSE Trades and NYSE BBO and a redistribution fee for NYSE OpenBook all of which will be operative on April 1 2013. (pdf)
	04 Apr 2013 Approval of: SR-NYSE-2013-24; Release No. 34-69298-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Certain Fees for the NYSE Trades and NYSE Realtime Reference Prices Market Data Products (pdf)
	Federal Register Publication of: SR-NYSE-2013-24 - 78 FR 21464 (10 Apr 2013) (pdf)
	SR-NYSE-2013-24; Filed: 21 Mar 2013. Release No. 34-69298 -- Proposal to establish certain fees for the NYSE Trades and NYSE Realtime Reference Prices (“NYSE RRP”) market data products. (pdf)
	02 Apr 2013 Approval of: SR-NYSE-2013-23; Release No. 34-69272-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing the NYSE Trades Digital Media Data Feed and a Schedule of the NYSE Proprietary Market Data Fees (pdf)
	SR-NYSE-2013-23; Filed: 20 Mar 2013. Release No. 34-69272 -- Proposal to establish the NYSE Trades Digital Media data feed and a schedule of the NYSE Proprietary Market Data Fees (“Market Data Fee Schedule”). (pdf)
	25 Mar 2013 Approval of: SR-NYSE-2013-22; Release No. 34-69225-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting Commentary .01 to NYSE Rule 2B, Which Provides an Exception Related to the Exchange's Equity Ownership Interest in BIDS Holdings L.P (pdf)
	Federal Register Publication of: SR-NYSE-2013-22 - 78 FR 19340 (29 Mar 2013) (pdf)
	SR-NYSE-2013-22; Filed: 20 Mar 2013. Release No. 34-69225 -- Proposal to delete Commentary .01 to NYSE Rule 2B, which provides an exception related to the Exchange’s equity ownership interest in BIDS Holdings L.P. (“BIDS Holdings”). (pdf)
	SR-NYSE-2013-21; Filed: 09 Apr 2013. Proposal to amend NYSE Rule 104 to codify certain traditional Trading Floor functions that may be performed by Designated Market Makers (“DMMs”), to make Exchange systems available to DMMs that would provide DMMs with certain market information, to amend the Exchange’s rules governing the ability of DMMs to provide market information to Floor brokers, and to make conforming amendments to other rules. (pdf)
	SR-NYSE-2013-21; Filed: 18 Apr 2013. Partial Amendment No. 1 (pdf)
	11 Mar 2013 Approval of: SR-NYSE-2013-20; Release No. 34-69103-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 107C to Clarify That a Retail Member Organization May Submit Retail Orders to the Retail Liquidity Program in a Riskless Principal Capacity as well as in an Agency Capacity (pdf)
	Federal Register Publication of: SR-NYSE-2013-20 - 78 FR 16547 (15 Mar 2013) (pdf)
	SR-NYSE-2013-20; Filed: 01 Mar 2013. Release No. 34-69103 -- Proposal to amend Rule 107C to clarify that a Retail Member Organization may submit Retail Orders to the Retail Liquidity Program in a riskless principal capacity and agency capacity, provided the entry of such riskless principal orders meets the requirements of FINRA Rule 5320.03, including the RMO maintains supervisory systems to reconstruct, in a time-sequenced manner, all Retail Orders are entered on a riskless principal basis; and the RMO does not include non-retail orders (pdf)
	11 Mar 2013 Approval of: SR-NYSE-2013-19; Release No. 34-69101-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the New York Stock Exchange LLC Price List to Increase the Gross FOCUS Fee (pdf)
	Federal Register Publication of: SR-NYSE-2013-19 - 78 FR 16551 (15 Mar 2013) (pdf)
	SR-NYSE-2013-19; Filed: 26 Feb 2013. Release No. 34-69101 -- Proposal to amend its Price List to increase the gross FOCUS fee (“Gross FOCUS Fee”). The Exchange proposes to immediately reflect the proposed change in its Price List, but not to implement the proposed rate change until April 1, 2013. (pdf)
	11 Mar 2013 Approval of: SR-NYSE-2013-17; Release No. 34-69102-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 Adding Two Self-Trade Prevention ("STP") Modifiers That May Be Used By Certain Market Participants (pdf)
	Federal Register Publication of: SR-NYSE-2013-17 - 78 FR 16561 (15 Mar 2013) (pdf)
	SR-NYSE-2013-17; Filed: 25 Feb 2013. Release No. 34-69102 -- Proposal to amend Rule 13 to add two self-trade prevention (“STP”) modifiers that may be used by certain market participants. (pdf)
	SR-NYSE-2013-16; Filed: 22 Feb 2013. Proposal to establish (i) certain fees for the NYSE Trades data feed and NYSE Realtime Reference Prices service (“NYSE RRP”) to better facilitate television, website, and mobile device distribution for informational purposes and (ii) redistribution fees for these feeds. (pdf)
	20 Feb 2013 Approval of: SR-NYSE-2013-14; Release No. 34-68958-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Temporary Suspension of Those Aspects of Rules 36.20 and 36.21 That Would Not Permit Floor Brokers To Use Personal Portable Phone Devices on the Trading Floor Following the Aftermath of Hurricane Sandy Until the Earlier of When Phone Service is Fully restored or Friday, March 29, 2013 (pdf)
	Federal Register Publication of: SR-NYSE-2013-14 - 78 FR 13127 (2-26-13) (26 Feb 2013) (pdf)
	SR-NYSE-2013-14; Filed: 15 Feb 2013. Release No. 34-68958 -- Proposal to extend the temporary suspension of those aspects of Rules 36.20 and 36.21 that would not permit Floor brokers to use personal portable phone devices on the Trading Floor following the aftermath of Hurricane Sandy until the earlier of when phone service is fully restored or Friday, March 29, 2013. (pdf)
	27 Feb 2013 Approval of: SR-NYSE-2013-13; Release No. 34-68996-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relocating Certain Futures and Options Trading Conducted on ICE Futures U.S. From Rented Space at the New York Mercantile Exchange to the Exchange’s Facilities at 20 Broad Street and Amending NYSE Rule 6A, Which Defines the Terms “Trading Floor” and “NYSE Amex Options Trading Floor” (pdf)
	Federal Register Publication of: SR-NYSE-2013-13 - 78 FR 14378 (05 Mar 2013) (pdf)
	SR-NYSE-2013-13; Filed: 13 Feb 2013. Release No. 34-68996 -- Proposal to relocate certain futures and options trading conducted on ICE Futures U.S. (“IFUS”) from rented space at the New York Mercantile Exchange (“NYMEX”) to the Exchange’s facilities at 20 Broad Street and amend NYSE Rule 6A, which defines the terms “Trading Floor” and “NYSE Amex Options Trading Floor” (together, the “Proposal”). (pdf)
	07 Feb 2013 Approval of: SR-NYSE-2013-12; Release No. 34-68861-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Cease Operating New York Block Exchange and Contemporaneously Delete the Text of Rule 1600, Which Governs NYBX Functionality (pdf)
	Federal Register Publication of: SR-NYSE-2013-12 - 78 FR 10226 (13 Feb 2013) (pdf)
	SR-NYSE-2013-12; Filed: 05 Feb 2013. Release No. 34-68861 -- Proposal to contemporaneously delete the text of Rule 1600, which governs NYBX functionality. (pdf)
	01 Feb 2013 Approval of: SR-NYSE-2013-11; Release No. 34-68804-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 128, which Governs Clearly Erroneous Executions, Extending the Effective Date of the Pilot Until September 30, 2013 and Adopting New Paragraph (i) to NYSE Rule 128 in Connection with the Upcoming Operation of the Plan to Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS under the Act (pdf)
	Federal Register Publication of: SR-NYSE-2013-11 - 78 FR 8677 (13 Feb 2013) (pdf)
	SR-NYSE-2013-11; Filed: 30 Jan 2013. Release No. 34-68804 -- Proposal to amend NYSE Rule 128, which governs clearly erroneous executions, to extend the effective date of the pilot by which portions of such Rule operate until September 30, 2013. The Exchange also proposes to adopt new paragraph (i) to NYSE Rule 128 in connection with the upcoming operation of the Plan to Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS under the Act (the “Limit Up-Limit Down Plan” or “Plan”). (pdf)
	31 Jan 2013 Approval of: SR-NYSE-2013-10; Release No. 34-68784-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Delaying the Operative Date of A Rule Change to NYSE Rule 80B, Which Provides for Methodology for Determining When to Halt Trading in All Stocks Due to Extraordinary Market Volatility, From the Date of February 4, 2013, Until April 8, 2013 (pdf)
	Federal Register Publication of: SR-NYSE-2013-10 - 78 FR 8662 (2-6-13) (06 Feb 2013) (pdf)
	SR-NYSE-2013-10; Filed: 23 Jan 2013. Release No. 34-68784 -- Proposal to delay the operative date of a rule change to NYSE Rule 80B, which provides for methodology for determining when to halt trading in all stocks due to extraordinary market volatility, from the date of February 4, 2013, until April 8, 2013. (pdf)
	08 Feb 2013 Approval of: SR-NYSE-2013-09; Release No. 34-68876-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 80C to Establish Rules to Comply with the Requirements of the Plan to Address Extraordinary Market Volatility Submitted to the Commission Pursuant to Rule 608 of Regulation NMS (pdf)
	Federal Register Publication of: SR-NYSE-2013-09 - 78 FR 10643 (14 Feb 2013) (pdf)
	SR-NYSE-2013-09; Filed: 25 Jan 2013. Release No. 34-68876 -- Proposal to amend Exchange Rule 80C to establish rules to comply with the requirements of Plan to Address Extraordinary Market Volatility submitted to the Commission pursuant to Rule 608 of Regulation NMS. (pdf)
	03 May 2013 Approval of: SR-NYSE-2013-08; Release No. 34-69513-- Order Granting Approval to Proposed Rule Changes Amending the Attestation Requirement of Rule 107C (NYSE) and 107C – Equities (NYSE MKT) To Allow a Retail Member Organization To Attest That “Substantially All” Orders Submitted To The Retail Liquidity Program Will Qualify As “Retail Orders” (pdf)
	Federal Register Publication of: SR-NYSE-2013-08 - 78 FR 27261 (09 May 2013) (pdf)
	SR-NYSE-2013-08; Filed: 17 Jan 2013. Release No. 34-69513 -- Proposal to amend the attestation requirement of Rule 107C – Equities to allow a Retail Member Organization (“RMO”) to attest that “substantially all” orders submitted to the Retail Liquidity Program (the “Program”) will qualify as “Retail Orders.” Rule 107C(b)(2)(C) – Equities currently requires RMOs to attest that “any order” will so qualify, effectively preventing certain significant retail brokers from participating in the Program due to operational constraints. (pdf)
	SR-NYSE-2013-07; Filed: 01 Feb 2013. Proposal to amend NYSE Rules 451 and 465, and the related provisions of Section 402.10 of the NYSE Listed Company Manual (pdf)
	24 Jan 2013 Approval of: SR-NYSE-2013-06; Release No. 34-68704-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Temporary Suspension of Those Aspects of Rules 36.20 and 36.21 That Would Not Permit Floor Brokers To Use Personal Portable Phone Devices on the Trading Floor Following the Aftermath of Hurricane Sandy Until the Earlier of When Phone Service is Fully Restored or Friday, February 15, 2013 (pdf)
	Federal Register Publication of: SR-NYSE-2013-06 - 78 FR 5851 (28 Jan 2013) (pdf)
	SR-NYSE-2013-06; Filed: 17 Jan 2013. Release No. 34-68704 -- Proposal to extend the temporary suspension of those Aspects of Rules 36.20 and 36.21 that would not permit Floor brokers to use personal portable phone devices on the Trading Floor following the aftermath of Hurricane Sandy until the earlier of when phone service is fully restored or Friday, February 15, 2013. (pdf)
	28 Jan 2013 Approval of: SR-NYSE-2013-05; Release No. 34-68745-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 80C, which Provides for Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, Extending the Effective Date of the Pilot Until the Earlier of the Initial Date of Operations of the Regulation NMS Plan to Address Extraordinary Market Volatility or February 4, 2014 (pdf)
	Federal Register Publication of: SR-NYSE-2013-05 - 78 FR 7840 (04 Feb 2013) (pdf)
	SR-NYSE-2013-05; Filed: 15 Jan 2013. Release No. 34-68745 -- Proposal to amend NYSE Rule 80C, which provides for trading pauses in individual securities due to extraordinary market volatility, to extend the effective date of the pilot by which such rule operates from the current scheduled expiration date of February 4, 2013, until the earlier of the initial date of operations of the Regulation NMS Plan to Address Extraordinary Market Volatility or February 4, 2014. (pdf)
	23 Jan 2013 Approval of: SR-NYSE-2013-04; Release No. 34-68709-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 107C To Allow Retail Liquidity Providers to Enter Retail Price Improvement Orders in a Non-RLP Capacity for Securities to Which the RLP is Not Assigned (pdf)
	Federal Register Publication of: SR-NYSE-2013-04 - 78 FR 6160 (29 Jan 2013) (pdf)
	SR-NYSE-2013-04; Filed: 14 Jan 2013. Release No. 34-68709 -- Proposal to amend NYSE Rule 107C to clarify that Retail Liquidity Providers (“RLPs”) may enter Retail Price Improvement Orders (“RPIs”) in a non-RLP capacity for securities to which the RLP is not assigned (pdf)
	24 Jan 2013 Approval of: SR-NYSE-2013-03; Release No. 34-68724-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 440B to Provide How the Trigger Price Will Be Calculated if Trading Is Interrupted Because of a Systems or Technical Issue and Is Not Restored During the Trading Day (pdf)
	Federal Register Publication of: SR-NYSE-2013-03 - 78 FR 6389 (30 Jan 2013) (pdf)
	SR-NYSE-2013-03; Filed: 10 Jan 2013. Release No. 34-68724 -- Proposal to amend Rule 440B to provide how the Trigger Price will be calculated if trading is interrupted because of a systems or technical issue and is not restored during the trading day. (pdf)
	05 Mar 2013 Approval of: SR-NYSE-2013-02; Release No. 34-69045-- Order Approving Proposed Rule Change Adopting Investigation, Disciplinary, Sanction, and Other Procedural Rules that are Modeled on the Rules of the Financial Industry Regulatory Authority and To Make Certain Conforming and Technical Changes (pdf)
	Federal Register Publication of: SR-NYSE-2013-02 - 78 FR 14378 (11 Mar 2013) (pdf)
	SR-NYSE-2013-02; Filed: 04 Jan 2013. Release No. 34-69045 -- Proposal to adopt investigation, disciplinary, sanction, and other procedural rules that are modeled on the rules of the Financial Industry Regulatory Authority (“FINRA”) and to make certain conforming and technical changes. (pdf)
	11 Jan 2013 Approval of: SR-NYSE-2013-01; Release No. 34-68658-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Program that Provides an Exception to NYSE Rule 2B by Permitting the Exchange's Equity Ownership Interest in BIDS Holdings L.P. (pdf)
	Federal Register Publication of: SR-NYSE-2013-01 - 78 FR 4524 (22 Jan 2013) (pdf)
	SR-NYSE-2013-01; Filed: 02 Jan 2013. Release No. 34-68658 -- Proposal to extend for an additional 12 months the January 22, 2013 expiration date of the pilot program that provides an exception to NYSE Rule 2B by permitting the Exchange’s equity ownership interest in BIDS Holdings L.P. (“BIDS Holdings”), which is the parent company of a member of the Exchange, and BIDS Holdings’ affiliation with the New York Block Exchange LLC, an affiliate of the Exchange. (pdf)