|
SR-NYSEMKT-2013-54; Filed:
17 Jun 2013.
Proposal to make a non-substantive, technical amendment to Exchange Rule 900.3NY(o) to correct a cross reference to Exchange Rule 964NY. (pdf)
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|
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SR-NYSEMKT-2013-53; Filed:
17 Jun 2013.
Proposal to amend NYSE MKT Rule 500 - Equities to extend the operation of the pilot program that allows Nasdaq Stock Market (“Nasdaq”) securities to be traded on the Exchange pursuant to a grant of unlisted trading privileges. The pilot is currently scheduled to expire on July 31, 2013; the Exchange proposes to extend it until the earlier of Securities and Exchange Commission (“Commission”) approval to make such pilot permanent or January 31, 2014. (pdf)
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SR-NYSEMKT-2013-52; Filed:
17 Jun 2013.
Proposal to extend the operation of its Supplemental Liquidity Providers Pilot (“SLP Pilot” or “Pilot”) (See Rule 107B - Equities), currently scheduled to expire on July 31, 2013, until the earlier of the Securities and Exchange Commission’s (“Commission”) approval to make such Pilot permanent or January 31, 2014 (pdf)
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SR-NYSEMKT-2013-51; Filed:
14 Jun 2013.
Proposal to extend the operation of its New Market Model Pilot, currently scheduled to expire on July 31, 2013, until the earlier of Securities and Exchange Commission (“Commission”) approval to make such pilot permanent or January 31, 2014. (pdf)
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SR-NYSEMKT-2013-50; Filed:
14 Jun 2013.
Proposed Rule Change Relating to a Corporate Transaction in which Its Indirect Parent, NYSE Euronext, Will Become a Wholly Owned Subsidiary of IntercontinentalExchange Group, Inc. (pdf)
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13 Jun 2013 Approval
of:
SR-NYSEMKT-2013-49; Release No.
34-69764--
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing 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. And On Days That The Exchange Is Closed Via The Exchange's 11 Wall Street Facilities And To Permit Additional IFUS Traders To Conduct Business On The IFUS Trading Floor
(pdf)
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SR-NYSEMKT-2013-49; Filed:
03 Jun 2013.
Release No. 34-69764 --
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)
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04 Jun 2013 Approval
of:
SR-NYSEMKT-2013-46; Release No.
34-69696--
Notice of Filing and Immediate Effectiveness
of Proposed Rule Change to Amend Rule 1000 - Equities to Revise the Manner by which the
Exchange will Phase Out the Functionality Associated with Liquidity Replenishment Points in
Connection with the Implementation of the Limit Up – Limit Down Plan
(pdf)
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|
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Federal Register Publication
of: SR-NYSEMKT-2013-46 - 78 FR 34687
(10 Jun 2013) (pdf)
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SR-NYSEMKT-2013-46; Filed:
31 May 2013.
Release No. 34-69696 --
Proposal to Amend Rule 1000 - Equities to Revise the Manner by which the Exchange will Phase Out the Functionality Associated with Liquidity Replenishment Points in Connection with the Implementation of the Limit Up – Limit Down Plan (pdf)
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04 Jun 2013 Approval
of:
SR-NYSEMKT-2013-45; Release No.
34-69692--
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Its Program That Allows Transactions To Take Place At A Price That Is Below $1 Per Option Contract Until January 5, 2014
(pdf)
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Federal Register Publication
of: SR-NYSEMKT-2013-45 - 78 FR 34689
(10 Jun 2013) (pdf)
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SR-NYSEMKT-2013-45; Filed:
24 May 2013.
Release No. 34-69692 --
Proposal to extend its program that allows transactions to take place at a price that is below $1 per option contract until January 5, 2014. (pdf)
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30 May 2013 Approval
of:
SR-NYSEMKT-2013-42; Release No.
34-69673--
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 980NY, to Remove Provisions Governing How the Complex Matching Engine Handles Electronic Complex Orders That Contain a Stock Leg
(pdf)
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SR-NYSEMKT-2013-42; Filed:
17 May 2013.
Release No. 34-69673 --
Proposal to amend NYSE MKT Rule 980NY, to remove provisions governing how the Complex Matching Engine (“CME”) handles Electronic Complex Orders that contain a stock leg (pdf)
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10 May 2013 Approval
of:
SR-NYSEMKT-2013-40; Release No.
34-69553--
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Non-Display Usage Fees and Amending the Professional End-User Fees for NYSE Amex Options Market Data
(pdf)
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|
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Federal Register Publication
of: SR-NYSEMKT-2013-40 - 78 FR 28926
(16 May 2013) (pdf)
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SR-NYSEMKT-2013-40; Filed:
01 May 2013.
Release No. 34-69553 --
Proposal to Establish Non-Display Usage Fees and to Amend Professional End-User Fees for NYSE Amex Options Market Data
(pdf)
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|
01 May 2013 Approval
of:
SR-NYSEMKT-2013-39; Release No.
34-69489--
Proposal to amend the NYSE Amex Options Fee Schedule to modify the existing Floor Broker rebate for executed qualified contingent cross orders. The proposed change will be operative on May 1, 2013
(pdf)
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Federal Register Publication
of: SR-NYSEMKT-2013-39 - 78 FR 26677
(07 May 2013) (pdf)
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SR-NYSEMKT-2013-39; Filed:
19 Apr 2013.
Release No. 34-69489 --
Proposal to amend the NYSE Amex Options Fee Schedule to modify the existing Floor Broker rebate for executed qualified contingent cross orders. The proposed change will be operative on May 1, 2013 (pdf)
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01 May 2013 Approval
of:
SR-NYSEMKT-2013-38; Release No.
34-69488--
Notice of Filing and Immediate Effectiveness
of Proposed Rule Change Amending NYSE Amex Options Fee Schedule for Firms to Increase
the Transaction Fee for Certain Proprietary Electronic Executions and to Introduce Volume-
Based Tiers for Certain Proprietary Electronic Executions
(pdf)
|
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Federal Register Publication
of: SR-NYSEMKT-2013-38 - 78 FR 26675
(07 May 2013) (pdf)
|
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SR-NYSEMKT-2013-38; Filed:
19 Apr 2013.
Release No. 34-69488 --
Proposal to amend NYSE Amex Options Fee Schedule for Firms to Increase the Transaction Fee for Certain Proprietary Electronic Executions and to Introduce Volume-Based Tiers for Certain Proprietary Electronic Executions (pdf)
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SR-NYSEMKT-2013-37; Filed:
10 Jun 2013.
Proposal to amend its listing standard for Reverse Merger Companies to modify in one respect the circumstances under which a reverse merger company may be eligible to list under the rule. (pdf)
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02 May 2013 Approval
of:
SR-NYSEMKT-2013-36; Release No.
34-69501--
Notice of Filing and Immediate Effectiveness
of Proposed Rule Change Amending Rule 13 - Equities to Expand the Availability of Self-Trade
Prevention Modifiers
(pdf)
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|
|
Federal Register Publication
of: SR-NYSEMKT-2013-36 - 78 FR 26821
(08 May 2013) (pdf)
|
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SR-NYSEMKT-2013-36; Filed:
22 Apr 2013.
Release No. 34-69501 --
Proposed Rule Change Amending Rule 13 to Expand the Availability of Self Trade Prevention (“STP”) Modifiers (pdf)
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07 May 2013 Approval
of:
SR-NYSEMKT-2013-35; Release No.
34-69524--
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Schedule of the NYSE Amex Options Proprietary Market Data Fees
(pdf)
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SR-NYSEMKT-2013-35; Filed:
16 Apr 2013.
Release No. 34-69524 --
Proposal to establish a schedule of NYSE MKT Options Proprietary Market Data Fees (pdf)
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17 Apr 2013 Approval
of:
SR-NYSEMKT-2013-34; Release No.
34-69388--
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Members' Schedule of NYSE Amex Options LLC (the "Company") In Order To Reflect Changes To the Capital Structure of the Company
(pdf)
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|
Federal Register Publication
of: SR-NYSEMKT-2013-34 - 78 FR 23963
(23 Apr 2013) (pdf)
|
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SR-NYSEMKT-2013-34; Filed:
09 Apr 2013.
Release No. 34-69388 --
Proposal to amend the Members’ Schedule dated as of June 29, 2011 in order to reflect changes to the capital structure of the Company based on two transactions. (pdf)
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08 Apr 2013 Approval
of:
SR-NYSEMKT-2013-33; Release No.
34-69294--
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 1000
(pdf)
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|
|
Federal Register Publication
of: SR-NYSEMKT-2013-33 - 78 FR 21441
(10 Apr 2013) (pdf)
|
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|
SR-NYSEMKT-2013-33; Filed:
02 Apr 2013.
Release No. 34-69294 --
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 MKT Rule 1000 - Equities 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)
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03 Apr 2013 Approval
of:
SR-NYSEMKT-2013-32; Release No.
34-69285--
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Certain Fees for NYSE MKT OpenBook, NYSE MKT Trades, and NYSE MKT BBO
(pdf)
|
|
|
Federal Register Publication
of: SR-NYSEMKT-2013-32 - 78 FR 21172
(09 Apr 2013) (pdf)
|
|
|
SR-NYSEMKT-2013-32; Filed:
22 Mar 2013.
Release No. 34-69285 --
Proposal to establish certain fees for NYSE MKT OpenBook, NYSE MKT Trades, and NYSE MKT BBO, all of which will be operative on April 1, 2013. (pdf)
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04 Apr 2013 Approval
of:
SR-NYSEMKT-2013-31; Release No.
34-69300--
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Certain Fees for the NYSE MKT Trades and NYSE MKT Realtime Reference Prices Market Data Products
(pdf)
|
|
|
Federal Register Publication
of: SR-NYSEMKT-2013-31 - 78 FR 21469
(10 Apr 2013) (pdf)
|
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|
SR-NYSEMKT-2013-31; Filed:
21 Mar 2013.
Release No. 34-69300 --
Proposal to establish certain fees for the NYSE MKT Trades and NYSE MKT Realtime Reference Prices (“NYSE MKT RRP”) market data products. (pdf)
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02 Apr 2013 Approval
of:
SR-NYSEMKT-2013-30; Release No.
34-69273--
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Establish the NYSE MKT Trades Digital Media Data Feed and a Schedule of the NYSE MKT Equities Proprietary Market Data Fees
(pdf)
|
|
|
Federal Register Publication
of: SR-NYSEMKT-2013-30 - 78 FR 20969
(08 Apr 2013) (pdf)
|
|
|
SR-NYSEMKT-2013-30; Filed:
21 Mar 2013.
Release No. 34-69273 --
Proposal to establish the NYSE MKT Trades Digital Media data feed and a schedule of the NYSE MKT Equities Proprietary Market Data Fees (“Market Data Fee Schedule”). (pdf)
|
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20 Mar 2013 Approval
of:
SR-NYSEMKT-2013-29; Release No.
34-69198--
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Definition of Complex Orders, Complex Trades and Stock/Options Orders to Accommodate the Trading of Option Contracts Overlying 10 Shares of a Security
(pdf)
|
|
|
SR-NYSEMKT-2013-29; Filed:
19 Mar 2013.
Release No. 34-69198 --
Proposal to amend the definition of Complex Orders, Complex Trades and Stock/Options orders to accommodate the trading of option contracts overlying 10 shares of a security (“mini-options contracts”). (pdf)
|
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|
28 Mar 2013 Approval
of:
SR-NYSEMKT-2013-28; Release No.
34-69255--
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Option Trading Rules to Extend the Operation of Its Pilot Program Regarding Minimum Value Sizes for Flexible Exchange Options Until March 31, 2014
(pdf)
|
|
|
Federal Register Publication
of: SR-NYSEMKT-2013-28 - 78 FR 20158
(03 Apr 2013) (pdf)
|
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SR-NYSEMKT-2013-28; Filed:
19 Mar 2013.
Release No. 34-69255 --
Proposal to amend its option trading rules to extend the operation of its pilot program (“Pilot Program”) regarding minimum value sizes for flexible exchange options (“FLEX Options”), currently scheduled to expire on March 29, 2013, until March 31, 2014 (pdf)
|
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19 Mar 2013 Approval
of:
SR-NYSEMKT-2013-26; Release No.
34-69174--
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Certain Rules to Accommodate the Trading of Option Contracts Overlying 10 Shares of Certain Securities
(pdf)
|
|
|
SR-NYSEMKT-2013-26; Filed:
18 Mar 2013.
Release No. 34-69174 --
Proposal to amend certain rules to accommodate the trading of option contracts overlying 10 shares of a security (“mini-options contracts”). (pdf)
|
|
|
SR-NYSEMKT-2013-25; Filed:
25 Mar 2013.
Proposal to amend NYSE MKT Rule 104 - Equities 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)
|
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|
SR-NYSEMKT-2013-25; Filed:
18 Apr 2013.
Partial Amendment No. 1 (pdf)
|
|
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27 Mar 2013 Approval
of:
SR-NYSEMKT-2013-24; Release No.
34-69247--
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Amex Options Fee Schedule to Establish Fees for Mini-Options Contracts
(pdf)
|
|
|
SR-NYSEMKT-2013-24; Filed:
07 Mar 2013.
Release No. 34-69247 --
Proposal to modify the NYSE Amex Options Fee Schedule to establish fees for mini-options contracts (pdf)
|
|
|
SR-NYSEMKT-2013-24; Filed:
18 Mar 2013.
Release No. 34-69247 --
Proposal to modify the NYSE Amex Options Fee Schedule to establish fees for mini-options contracts (pdf)
|
|
|
13 Mar 2013 Approval
of:
SR-NYSEMKT-2013-23; Release No.
34-69131--
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to List and Trade Option Contracts Overlying 10 Shares of Certain Securities
(pdf)
|
|
|
Federal Register Publication
of: SR-NYSEMKT-2013-23 - 78 FR 16905
(19 Mar 2013) (pdf)
|
|
|
SR-NYSEMKT-2013-23; Filed:
05 Mar 2013.
Release No. 34-69131 --
Proposal to list and trade option contracts overlying 10 shares of a security (“mini-options contracts”). (pdf)
|
|
|
11 Mar 2013 Approval
of:
SR-NYSEMKT-2013-22; Release No.
34-69104--
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 107C-Equities 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-NYSEMKT-2013-22 - 78 FR 16556
(15 Mar 2013) (pdf)
|
|
|
SR-NYSEMKT-2013-22; Filed:
01 Mar 2013.
Release No. 34-69104 --
Proposal to amend Rule 107C-Equities 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)
|
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11 Mar 2013 Approval
of:
SR-NYSEMKT-2013-21; Release No.
34-69098--
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 - Equities to Add Two Self-Trade Prevention Modifiers That May Be Used by Certain Market Participants
(pdf)
|
|
|
Federal Register Publication
of: SR-NYSEMKT-2013-21 - 78 FR 16544
(15 Mar 2013) (pdf)
|
|
|
SR-NYSEMKT-2013-21; Filed:
26 Feb 2013.
Release No. 34-69098 --
Proposes to amend Rule 13 - Equities to add two self-trade prevention (“STP”) modifiers that may be used by certain market participants. (pdf)
|
|
|
SR-NYSEMKT-2013-18-R; Filed:
25 Feb 2013.
Proposal to amend Section 140 of the NYSE MKT Company Guide to specify how the Initial Application Fee is treated for an issuer that, after paying such fee to the Exchange, lists a security on New York Stock Exchange LLC instead of on the Exchange, an issuer that makes contemporaneous applications to list on both the Exchange and NYSE, and certain issuers that do not immediately list a security for which they already paid an Initial Application Fee. (pdf)
|
|
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11 Mar 2013 Approval
of:
SR-NYSEMKT-2013-17; Release No.
34-69105--
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to NYSE Amex Options Rule 960NY to Extend the Penny Pilot in Options Classes in Certain Issues Through June 30, 2013
(pdf)
|
|
|
Federal Register Publication
of: SR-NYSEMKT-2013-17 - 78 FR 16554
(15 Mar 2013) (pdf)
|
|
|
SR-NYSEMKT-2013-17; Filed:
26 Feb 2013.
Release No. 34-69105 --
Proposal to amend Commentary .02 to NYSE Amex Options Rule 960NY in order to extend the Penny Pilot in options classes in certain issues (“Pilot Program”) previously approved by the Securities and Exchange Commission (“Commission”) through June 30, 2013. (pdf)
|
|
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11 Mar 2013 Approval
of:
SR-NYSEMKT-2013-16; Release No.
34-69081--
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules Governing Order Format and System Entry Requirements
(pdf)
|
|
|
Federal Register Publication
of: SR-NYSEMKT-2013-16 - 78 FR 16332
(14 Mar 2013) (pdf)
|
|
|
SR-NYSEMKT-2013-16; Filed:
05 Mar 2013.
Release No. 34-69081 --
Proposal to amend rules governing Order Format and System Entry Requirements. (pdf)
|
|
|
20 Feb 2013 Approval
of:
SR-NYSEMKT-2013-14; Release No.
34-68957--
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Temporary Suspension of Those Aspects of Rules 36.20 - Equities and 36.21 - Equities 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-NYSEMKT-2013-14 - 78 FR 13110 (2-26-13)
(26 Feb 2013) (pdf)
|
|
|
SR-NYSEMKT-2013-14; Filed:
15 Feb 2013.
Release No. 34-68957 --
Proposal to extend the temporary suspension of those aspects of Rules 36.20 - Equities and 36.21 - Equities 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-NYSEMKT-2013-13; Release No.
34-68997--
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 Rule 6A - Equities, Which Defines the Terms “Trading Floor” and “NYSE Amex Options Trading Floor”
(pdf)
|
|
|
Federal Register Publication
of: SR-NYSEMKT-2013-13 - 78 FR 14378
(05 Mar 2013) (pdf)
|
|
|
SR-NYSEMKT-2013-13; Filed:
13 Feb 2013.
Release No. 34-68997 --
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 Rule 6A - Equities, which defines the terms “Trading Floor” and “NYSE Amex Options Trading Floor” (together, the “Proposal”). (pdf)
|
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20 May 2013 Approval
of:
SR-NYSEMKT-2013-12; Release No.
34-69608--
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Amending Rule 975NY In Part and Adding a New Section to Address Errors that Involve Complex Orders
(pdf)
|
|
|
Federal Register Publication
of: SR-NYSEMKT-2013-12 - 78 FR 31619
(24 May 2013) (pdf)
|
|
|
SR-NYSEMKT-2013-12; Filed:
01 Feb 2013.
Release No. 34-69608 --
Proposal to amend Rule 975NY in part and add a new section to address errors that involve Complex Orders. (pdf)
|
|
|
SR-NYSEMKT-2013-12; Filed:
05 Apr 2013.
Release No. 34-69608 --
Extension to 5/22/13. (pdf)
|
|
|
SR-NYSEMKT-2013-12; Filed:
23 Apr 2013.
Release No. 34-69608 --
Partial Amendment No. 1 (pdf)
|
|
|
01 Feb 2013 Approval
of:
SR-NYSEMKT-2013-11; Release No.
34-68801--
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 128 - Equities, which Governs Clearly Erroneous Executions, Extending the Effective Date of the Pilot Until September 30, 2013 and Adopting New Paragraph (i) to Rule 128-Equities 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-NYSEMKT-2013-11 - 78 FR 8630
(06 Feb 2013) (pdf)
|
|
|
SR-NYSEMKT-2013-11; Filed:
30 Jan 2013.
Release No. 34-68801 --
Proposal to amend Rule 128 - Equities, 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 Rule 128 - Equities 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)
|
|
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08 Apr 2013 Approval
of:
SR-NYSEMKT-2013-10; Release No.
34-69339--
Order Approving, on an Accelerated Basis, Proposed Rule Change, as Modified by Amendment No. 1, Adopting Exchange Rule 953.1NY to Provide for How the Exchange Proposes to Treat Orders, Market-Making Quoting Obligations, and Errors in Response to the Regulation NMS Plan to Address Extraordinary Market Volatility; and Amending Exchange Rule 953NY to Codify that the Exchange Shall Halt Trading in All Options Overlying NMS Stocks
(pdf)
|
|
|
Federal Register Publication
of: SR-NYSEMKT-2013-10 - 78 FR 22011
(12 Apr 2013) (pdf)
|
|
|
SR-NYSEMKT-2013-10; Filed:
26 Feb 2013.
Release No. 34-69339 --
Proposal to adopt (i) Exchange Rule 953.1NY to provide for how the Exchange proposes to treat orders, market-making quoting obligations, and errors in response to the Regulation NMS Plan to Address Extraordinary Market Volatility; and (ii) to amend Exchange Rule 953NY to codify that the Exchange shall halt trading in all options overlying NMS stocks when the equities markets initiate a market-wide trading halt due to extraordinary market volatility. (pdf)
|
|
|
SR-NYSEMKT-2013-10; Filed:
01 Apr 2013.
Release No. 34-69339 --
Partial Amendment No. 1 (pdf)
|
|
|
SR-NYSEMKT-2013-09; Filed:
25 Jan 2013.
Proposal to adopt Rule 964.3NY to provide for certain electronic crossing mechanisms. (pdf)
|
|
|
31 Jan 2013 Approval
of:
SR-NYSEMKT-2013-08; Release No.
34-68787--
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Delaying the Operative Date of A Rule Change to Exchange Rule 80B - Equities, 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-NYSEMKT-2013-08 - 78 FR 8615
(06 Feb 2013) (pdf)
|
|
|
SR-NYSEMKT-2013-08; Filed:
23 Jan 2013.
Release No. 34-68787 --
Proposal to delay the operative date of a rule change to Exchange Rule 80B - Equities, 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)
|
|
|
03 May 2013 Approval
of:
SR-NYSEMKT-2013-07; 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-NYSEMKT-2013-07 - 78 FR 27261
(09 May 2013) (pdf)
|
|
|
SR-NYSEMKT-2013-07; 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)
|
|
|
22 Jan 2013 Approval
of:
SR-NYSEMKT-2013-06; Release No.
34-68705--
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Suspension of Those Aspects of Rules 36.20 - Equities and 36.21 - Equities 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-NYSEMKT-2013-06 - 78 FR 5848
(18 Jan 2013) (pdf)
|
|
|
SR-NYSEMKT-2013-06; Filed:
17 Jan 2013.
Release No. 34-68705 --
Proposal to extend the temporary suspension of those aspects of Rules 36.20 - Equities and 36.21 - Equities 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)
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08 Feb 2013 Approval
of:
SR-NYSEMKT-2013-05; Release No.
34-68875--
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 80C -Equities 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)
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Federal Register Publication
of: SR-NYSEMKT-2013-05 - 78 FR 10678
(14 Feb 2013) (pdf)
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SR-NYSEMKT-2013-05; Filed:
25 Jan 2013.
Release No. 34-68875 --
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)
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28 Jan 2013 Approval
of:
SR-NYSEMKT-2013-04; Release No.
34-68744--
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 80C - Equities, 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)
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Federal Register Publication
of: SR-NYSEMKT-2013-04 - 78 FR 7833
(04 Feb 2013) (pdf)
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SR-NYSEMKT-2013-04; Filed:
15 Jan 2013.
Release No. 34-68744 --
Proposal to amend Rule 80C - Equities, 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)
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23 Jan 2013 Approval
of:
SR-NYSEMKT-2013-02; Release No.
34-68710--
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 107C - Equities 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)
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Federal Register Publication
of: SR-NYSEMKT-2013-02 - 78 FR 6152 (1-29-13)
(29 Jan 2013) (pdf)
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SR-NYSEMKT-2013-02; Filed:
11 Jan 2013.
Release No. 34-68710 --
Proposal to amend Rule 107C - Equities 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)
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11 Jan 2013 Approval
of:
SR-NYSEMKT-2013-01; Release No.
34-68630--
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List with Respect to Regulatory Fees Related to the Central Registration Depository, Which are Collected by the Financial Industry Regulatory Authority, Inc.
(pdf)
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Federal Register Publication
of: SR-NYSEMKT-2013-01 - 78 FR 3947
(17 Jan 2013) (pdf)
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SR-NYSEMKT-2013-01; Filed:
02 Jan 2013.
Release No. 34-68630 --
Proposal to amend its Price List (the “Price List”) with respect to regulatory fees related to the Central Registration Depository (“CRD system”), which are collected by the Financial Industry Regulatory Authority, Inc. (“FINRA”). The Exchange proposes to implement the fee changes on January 2, 2013. (pdf)
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