NYSE Amex Rule Filings

Below are proposed rule changes regarding NYSE Amex (formerly known as NYSE Alternext US) that have been filed with the U.S. Securities and Exchange Commission (SEC). These filings, filed on SEC Form 19b-4, relate to proposed amendments to Rules and Interpretations, Fees and certain other matters regarding NYSE Amex.

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

If you should wish to access filings made by the American Stock Exchange prior to its acquisition by NYSE Euronext (and subsequent creation of NYSE Alternext US) on October 1, 2008, please use this link:www.amex.com/atamex/ruleFilings/at_rulefilings.htm

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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-NYSEMKT-2014-40; Filed: 23 Apr 2014.  Release No.  --  Proposal to offer ArcaBook for Amex Options – Complex on a standalone basis without charge from May 1, 2014 through October 31, 2014. (pdf)
pdf SR-NYSEMKT-2014-39; Filed: 23 Apr 2014.  Release No.  --  Proposal to amend Commentary .01 to Rule 901 to replace the reference to “GOOG” with “GOOGL”. (pdf)
pdf SR-NYSEMKT-2014-37; Filed: 21 Apr 2014.  Release No.  --  Proposal to add new paragraphs (j) and (k) to Rule 128 - Equities, entitled “Clearly Erroneous Executions For Equities.” (pdf)
pdf 17 Apr 2014 Approval of: SR-NYSEMKT-2014-35; Release No. 34-71966-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 900.3NY (Orders Defined) to Remove the Size Restriction on Contra-Party Participation on a Qualified Contingent Cross Order (pdf)
pdf SR-NYSEMKT-2014-35; Filed: 14 Apr 2014.  Release No. 34-71966 --  Proposal to amend Rule 900.3NY (Orders Defined) to remove the size restriction on contra-party participation on a Qualified Contingent Cross Order (“QCC Order”). (pdf)
pdf SR-NYSEMKT-2014-34; Filed: 11 Apr 2014.  Release No.  --  Proposal to delete NYSE MKT Rule 343 - Equities to harmonize the NYSE MKT’s rules with changes by Financial Industry Regulatory Authority, Inc. (“FINRA”) to amend the Uniform Branch Office Registration Form (“Form BR”). (pdf)
pdf SR-NYSEMKT-2014-33; Filed: 11 Apr 2014.  Release No.  --  Proposal to amend Exchange rules governing Letters of Guarantee and Letters of Authorization.. (pdf)
pdf SR-NYSEMKT-2014-32; Filed: 04 Apr 2014.  Release No.  --  Proposal to amend certain of its NYSE MKT Equities Rule Series (500 through 525) to permit additional securities to be admitted to dealings on the Exchange pursuant to a grant of unlisted trading privileges (pdf)
pdf 04 Apr 2014 Approval of: SR-NYSEMKT-2014-31; Release No. 34-71870-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Applicable to Rule 953.1NY(c), Which Addresses How the Exchange Treats Obvious and Catastrophic Errors During Periods of Extreme Market Volatility, until February 20, 2015 (pdf)
pdf Federal Register Publication of: SR-NYSEMKT-2014-31 - 79 FR 19692 (09 Apr 2014) (pdf)
pdf SR-NYSEMKT-2014-31; Filed: 01 Apr 2014.  Release No. 34-71870 --  Proposal to extend the pilot period applicable to Rule 953.1NY(c), which addresses how the Exchange treats Obvious and Catastrophic Errors during periods of extreme market volatility, until February 20, 2015. The pilot period for subsection (c) is currently set to expire on April 8, 2014. (pdf)
pdf 11 Apr 2014 Approval of: SR-NYSEMKT-2014-30; Release No. 34-71934-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Professional User Fees for NYSE Amex Options Market Data, Operative on April 1, 2014 (pdf)
pdf Federal Register Publication of: SR-NYSEMKT-2014-30 - 79 FR 21818 (17 Apr 2014) (pdf)
pdf SR-NYSEMKT-2014-30; Filed: 31 Mar 2014.  Release No. 34-71934 --  Proposal to amend the Professional User fees for NYSE Amex Options market data, operative on April 1, 2014. (pdf)
pdf 07 Apr 2014 Approval of: SR-NYSEMKT-2014-29; Release No. 34-71889-- 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-NYSEMKT-2014-29 - 79 FR 20281 (11 Apr 2014) (pdf)
pdf SR-NYSEMKT-2014-29; Filed: 26 Mar 2014.  Release No. 34-71889 --  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-NYSEMKT-2014-28; Release No. 34-71820-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending a Pilot Program Related to Rule 128 - Equities, Entitled "Clearly Erroneous Executions For Equities" (pdf)
pdf Federal Register Publication of: SR-NYSEMKT-2014-28 - 79 FR 18595 (02 Apr 2014) (pdf)
pdf SR-NYSEMKT-2014-28; Filed: 26 Mar 2014.  Release No. 34-71820 --  Proposal to extend a pilot program related to Rule 128 - Equities, entitled “Clearly Erroneous Executions For Equities.” (pdf)
pdf 08 Apr 2014 Approval of: SR-NYSEMKT-2014-27; Release No. 34-71898-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 - Equities Governing Pegging Interest (pdf)
pdf Federal Register Publication of: SR-NYSEMKT-2014-27 - 79 FR 20957 (14 Apr 2014) (pdf)
pdf SR-NYSEMKT-2014-27; Filed: 25 Mar 2014.  Release No. 34-71898 --  Proposal to amend Rule 13 - Equities (Orders and Modifiers) governing Pegging Interest (pdf)
pdf 01 Apr 2014 Approval of: SR-NYSEMKT-2014-26; Release No. 34-71844-- 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 Opening Transactions in New Series of Flexible Exchange Options (pdf)
pdf SR-NYSEMKT-2014-26; Filed: 27 Mar 2014.  Release No. 34-71844 --  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” or “FLEX”), currently scheduled to expire on March 31, 2014 until the earlier of July 31, 2014 or approval of the Exchange’s proposal to adopt the Pilot Program on a permanent basis. (pdf)
pdf 04 Apr 2014 Approval of: SR-NYSEMKT-2014-25; Release No. 34-71878-- 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-NYSEMKT-2014-25 - 79 FR 19936 (10 Apr 2014) (pdf)
pdf SR-NYSEMKT-2014-25; Filed: 24 Mar 2014.  Release No. 34-71878 --  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-NYSEMKT-2014-25; Filed: 24 Mar 2014.  Release No. 34-71878 --  Duplicated (pdf)
pdf SR-NYSEMKT-2014-24; Filed: 21 Mar 2014.  Release No.  --  Proposal to extend a pilot program related to Rule 128 - Equities, entitled “Clearly Erroneous Executions For Equities.” (pdf)
pdf SR-NYSEMKT-2014-23; Filed: 19 Mar 2014.  Release No.  --  Proposal to amend Rule 900.3NY (Orders Defined) to specifically address the number and size of contra-parties to a Qualified Contingent Cross Order (“QCC Order”). (pdf)
pdf SR-NYSEMKT-2014-22; Filed: 17 Mar 2014.  Release No.  --  Proposed Rule Change Amending Rule 98 - Equities to Adopt a Principles-based Approach to Prohibit the Misuse of Material Nonpublic Information and Make Conforming Changes to Other Exchange Rules (pdf)
pdf SR-NYSEMKT-2014-21; Filed: 17 Mar 2014.  Release No.  --  Proposal to make permanent its pilot program (“Pilot Program”) regarding minimum value scheduled to expire on March 31, 2014, and to establish new minimum value sizes applicable to other FLEX transactions and FLEX Quotes (pdf)
pdf 19 Mar 2014 Approval of: SR-NYSEMKT-2014-20; Release No. 34-71749-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Expanding the Short-Term Option Series Program (pdf)
pdf Federal Register Publication of: SR-NYSEMKT-2014-20 - 79 FR 16388 (25 Mar 2014) (pdf)
pdf SR-NYSEMKT-2014-20; Filed: 13 Mar 2014.  Release No. 34-71749 --  Proposes several amendments to expand the short-term option series (“STOS”) program. (pdf)
pdf 18 Mar 2014 Approval of: SR-NYSEMKT-2014-19; Release No. 34-71730-- 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 (pdf)
pdf Federal Register Publication of: SR-NYSEMKT-2014-19 - 79 FR 16085 (24 Mar 2014) (pdf)
pdf SR-NYSEMKT-2014-19; Filed: 04 Mar 2014.  Release No. 34-71730 --  Proposal to amend its 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 4, 2014. (pdf)
pdf SR-NYSEMKT-2014-17; Filed: 21 Feb 2014.  Release No.  --  Proposal to adopt Rule 971.1NY for an electronic price improvement auction for single-leg orders. (pdf)
pdf SR-NYSEMKT-2014-17; Filed: 22 Apr 2014.  Release No.  --  Partial Amendment No. 2 (pdf)
pdf SR-NYSEMKT-2014-17; Filed: 23 Apr 2014.  Release No.  --  Extension to 5/1/14 (pdf)
pdf 12 Feb 2014 Approval of: SR-NYSEMKT-2014-16; Release No. 34-71531-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule in A Number of Different Ways (pdf)
pdf Federal Register Publication of: SR-NYSEMKT-2014-16 - 79 FR 9531 (19 Feb 2014) (pdf)
pdf SR-NYSEMKT-2014-16; Filed: 31 Jan 2014.  Release No.  34-71531 --  Proposal to amend the NYSE Amex Options Fee Schedule (“Fee Schedule”) in a number of different ways. The proposed changes will be operative on February 3, 2014 (pdf)
pdf 05 Feb 2014 Approval of: SR-NYSEMKT-2014-15; Release No. 34-71487-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 - Equities to Modify The Manner By Which MPL-ALO Orders Trade When Triggered By Arriving Interest (pdf)
pdf Federal Register Publication of: SR-NYSEMKT-2014-15 - 79 FR 8223 (11 Feb 2014) (pdf)
pdf SR-NYSEMKT-2014-15; Filed: 31 Jan 2014.  Release No. 34-71487 --  Proposal to amend Rule 13 - Equities to modify the manner by which MPL-ALO Orders trade when triggered by arriving interest. (pdf)
pdf 31 Jan 2014 Approval of: SR-NYSEMKT-2014-13; Release No. 34-71453-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to Increase the Fee for Executions in New York Stock Exchange Crossing Session II (pdf)
pdf Federal Register Publication of: SR-NYSEMKT-2014-13 - 79 FR 7271 (06 Feb 2014) (pdf)
pdf SR-NYSEMKT-2014-13; Filed: 23 Jan 2014.  Release No. 34-71453 --  Proposal to amend its Price List to increase the fee for executions in New York Stock Exchange (“NYSE”) Crossing Session II. The Exchange proposes to implement the fee change effective February 1, 2014. (pdf)
pdf 12 Feb 2014 Approval of: SR-NYSEMKT-2014-12; Release No. 34-71532-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule by Adopting a Market Access and Connectivity Subsidy (pdf)
pdf Federal Register Publication of: SR-NYSEMKT-2014-12 - 79 FR 9563 (19 Feb 2014) (pdf)
pdf SR-NYSEMKT-2014-12; Filed: 23 Jan 2014.  Release No.  34-71532 --  Proposal to amend the NYSE Amex Options Fee Schedule (“Fee Schedule”) by adopting a Market Access and Connectivity Subsidy. The proposed change will be operative on February 3, 2014. (pdf)
pdf 31 Jan 2014 Approval of: SR-NYSEMKT-2014-11; Release No. 34-71451-- 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-NYSEMKT-2014-11 - 79 FR 7270 (06 Feb 2014) (pdf)
pdf SR-NYSEMKT-2014-11; Filed: 22 Jan 2014.  Release No.  34-71451 --  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-NYSEMKT-2014-10; 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-NYSEMKT-2014-10 - 79 FR 15367 (19 Mar 2014) (pdf)
pdf SR-NYSEMKT-2014-10; Filed: 21 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 NYSE MKT, to another wholly owned subsidiary of ICE Group, IntercontinentalExchange, Inc., a Delaware corporation (“ICE Inc.”). (pdf)
pdf 27 Jan 2014 Approval of: SR-NYSEMKT-2014-09; Release No. 34-71410-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase Its Options Regulatory Fee (pdf)
pdf Federal Register Publication of: SR-NYSEMKT-2014-09 - 79 FR 5506 (31 Jan 2014) (pdf)
pdf SR-NYSEMKT-2014-09; Filed: 21 Jan 2014.  Release No. 34-71410 --  Proposal to increase its Options Regulatory Fee. The Exchange proposes to implement this change on February 3. 2014. (pdf)
pdf 14 Mar 2014 Approval of: SR-NYSEMKT-2014-08; Release No. 34-71728-- Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Amending Various Sections of Both the Limited Liability Company Agreement of NYSE Amex Options LLC Dated as of June 29, 2011 and the Members Agreement Dated as of June 29, 2011 (pdf)
pdf Federal Register Publication of: SR-NYSEMKT-2014-08 - 79 FR 15620 (20 Mar 2014) (pdf)
pdf SR-NYSEMKT-2014-08; Filed: 14 Jan 2014.  Release No. 34-71728 --  Proposal to amend various sections of both the Limited Liability Company Agreement of NYSE Amex Options LLC and the Members Agreement dated as of June 29, 2011 by and among the Company, NYSE MKT, NYSE Euronext, Banc of America Strategic Investments Corporation, Barclays Electronic Commerce Holdings Inc., Citadel Securities LLC, Citigroup Financial Strategies, Inc., Goldman, Sachs & Co., Datek Online Management Corp. and UBS Americas Inc. (pdf)
pdf SR-NYSEMKT-2014-08; Filed: 12 Mar 2014.  Release No. 34-71728 --  Partial Amendment No. 1 (pdf)
pdf SR-NYSEMKT-2014-06; Filed: 14 Feb 2014.  Release No. 34-71957 --  Proposal to amend Section 17 which are rules applicable to securities known as Fixed Return Options to reflect a name change to Binary Return Derivatives and adding a new paragraph 8 to Rule 975NY and amending Rule 975NYb1 to address Obvious Errors in ByRDs (pdf)
pdf 27 Feb 2014 Approval of: SR-NYSEMKT-2014-05; Release No. 34-71630-- Order Granting Approval of Proposed Rule Change Amending Its Rules in Order to Clarify the Applicability and Functionality of Certain Order Types on the Exchange (pdf)
pdf Federal Register Publication of: SR-NYSEMKT-2014-05 - 79 FR 12540 (05 Mar 2014) (pdf)
pdf SR-NYSEMKT-2014-05; Filed: 08 Jan 2014.  Release No. 34-71630 --  Proposal to amend its rules in order to clarify the applicability and functionality of certain order types on the Exchange. (pdf)
pdf 09 Jan 2014 Approval of: SR-NYSEMKT-2014-04; Release No. 34-71275-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule for Firms to Increase the Transaction Fee for Certain Proprietary Electronic Executions of Standard Option Contracts that Fall Within the First of the Volume-Based Tiers for Certain Proprietary Electronic Executions of Standard Option Contracts (pdf)
pdf SR-NYSEMKT-2014-04; Filed: 08 Jan 2014.  Release No. 34-71275 --  Proposal to amend the NYSE Amex Options Fee Schedule (“Fee Schedule”) for Firms to increase the transaction fee for certain proprietary electronic executions of standard option contracts that fall within the first of the volume-based tiers for certain proprietary electronic executions of standard option contracts (pdf)
pdf 21 Jan 2014 Approval of: SR-NYSEMKT-2014-03; Release No. 34-71361-- 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-NYSEMKT-2014-03 - 79 FR 4364 (27 Jan 2014) (pdf)
pdf SR-NYSEMKT-2014-03; Filed: 06 Jan 2014.  Release No. 34-71361 --  Proposal to extend the operation of its Supplemental Liquidity Providers Pilot (“SLP Pilot” or “Pilot”) (See Rule 107B - Equities), 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 17 Jan 2014 Approval of: SR-NYSEMKT-2014-02; Release No. 34-71342-- 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-NYSEMKT-2014-02 - 79 FR 4197 (24 Jan 2014) (pdf)
pdf SR-NYSEMKT-2014-02; Filed: 06 Jan 2014.  Release No. 34-71342 --  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 (“Commission”) approval to make such pilot permanent or July 31, 2014 (pdf)
pdf 21 Jan 2014 Approval of: SR-NYSEMKT-2014-01; Release No. 34-71363-- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 500 - Equities to Extend the Operation of the Pilot Program that Allows Nasdaq Stock Market Securities to be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges Until the Earlier of a Permanent Approval or July 31, 2014 (pdf)
pdf Federal Register Publication of: SR-NYSEMKT-2014-01 - 79 FR 4373 (27 Jan 2014) (pdf)
pdf SR-NYSEMKT-2014-01; Filed: 06 Jan 2014.  Release No. 34-71363 --  Proposal to amend NYSE MKT Rule 500 - Equities to extend operation of pilot program that allows Nasdaq Stock Market securities to be traded on the Exchange pursuant to a grant of unlisted trading privileges. (pdf)