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SR-NYSEAmex-2012-32; Filed:
14 May 2012.
Proposal to amend its Certificate of Formation, Amended and Restated Operating Agreement (“Operating Agreement”), Company Guide, and Rules to change the name of the Exchange to NYSE MKT LLC. (pdf)
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SR-NYSEAmex-2012-31; Filed:
11 May 2012.
Proposal to define a Primary Specialist in each options class and modify the Specialist entitlement accordingly. (pdf)
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17 May 2012 Approval
of:
SR-NYSEAmex-2012-30; Release No.
34-67006--
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 May 31, 2013
(pdf)
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SR-NYSEAmex-2012-30; Filed:
10 May 2012.
Release No. 34-67006 --
Proposal to extend its program that allows transactions to take place at a price that is below $1 per option contract until May 31, 2013. (pdf)
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SR-NYSEAmex-2012-29; Filed:
02 May 2012.
Proposal to amend Commentary .07 to NYSE Amex Options Rule 904 to eliminate position limits for options on the SPDR® S&P 500® exchange-traded fund (“SPY ETF”), which list and trade under the symbol SPY. (pdf)
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10 May 2012 Approval
of:
SR-NYSEAmex-2012-28; Release No.
34-66959--
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Amex Equities Price List for Certain Fees Relating to Transactions in Exchange-Listed Securities and Trading Pursuant to Unlisted Trading Privileges of Securities Listed on the Nasdaq Stock Market LLC
(pdf)
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Federal Register Publication
of: SR-NYSEAmex-2012-28 - 77 FR 28912
(16 May 2012) (pdf)
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SR-NYSEAmex-2012-28; Filed:
30 Apr 2012.
Release No. 34-66959 --
Proposal to amend the NYSE Amex Equities Price List (“Price List”) for certain fees relating to transactions in Exchange-listed securities and trading pursuant to unlisted trading privileges (“UTP”) of securities listed on the Nasdaq Stock Market LLC (“Nasdaq”). (pdf)
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02 May 2012 Approval
of:
SR-NYSEAmex-2012-27; Release No.
34-66903--
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing an Increase to the Login Fee Within the NYSE Amex Options Fee Schedule
(pdf)
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Federal Register Publication
of: SR-NYSEAmex-2012-27 - 77 FR 27104
(08 May 2012) (pdf)
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SR-NYSEAmex-2012-27; Filed:
27 Apr 2012.
Release No. 34-66903 --
Proposal to increase the login fee within the NYSE Amex Options Fee Schedule (“Fee Schedule”) and to make this increase operative on May 1, 2012. (pdf)
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SR-NYSEAmex-2012-26; Filed:
20 Apr 2012.
Proposal to adopt rules governing the listing and trading of a new product known as DORS. (pdf)
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SR-NYSEAmex-2012-24; Filed:
18 Apr 2012.
Proposal to list shares of the Nuveen Long/Short Commodity Total Return Fund under NYSE Amex Rule 1600 et seq. (pdf)
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SR-NYSEAmex-2012-23; Filed:
12 Apr 2012.
Proposal to amend NYSE Amex Options Rule 928NY to specify that the potential range for the settings applicable to the Market Maker Risk Limitation Mechanism (“Mechanism”) will be between one and 100 executions per second, to eliminate the current reference to the default setting and, in the future, to specify the applicable minimum, maximum and default settings via Regulatory Bulletin. (pdf)
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SR-NYSEAmex-2012-22; Filed:
04 Apr 2012.
Proposal to amend NYSE Amex Equities Rule 107B to add a class of Supplemental Liquidity Providers (“SLP”) that are registered as market makers at the Exchange. (pdf)
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12 Apr 2012 Approval
of:
SR-NYSEAmex-2012-21; Release No.
34-66795--
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Recent Changes to FINRA Rules 7440 and 7450, and to Adopt Recent Changes to FINRA Rule 5320 by Amending Supplementary Material .02 to NYSE Amex Equities Rule 5320 to Require that Member Organizations Report to the Order Audit Trail System Information Barriers Put Into Place by the Member Organization in Reliance on Supplementary Material .02 to NYSE Amex Equities Rule 5320.
(pdf)
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Federal Register Publication
of: SR-NYSEAmex-2012-21 - 77 FR 23298
(18 Apr 2012) (pdf)
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SR-NYSEAmex-2012-21; Filed:
02 Apr 2012.
Release No. 34-66795 --
Proposal to adopt recent changes to Financial Industry Regulatory Authority, Inc. Rules 7440 and 7450, which the Exchange has incorporated by reference in its own rules, and adopt recent changes to FINRA Rule 5320 by amending Supplementary Material .02 to NYSE Amex Equities Rule 5320 to require that member organizations report to the Order Audit Trail System information barriers put into place by the member organization in reliance on Supplementary Material .02 to NYSE Amex Equities Rule 5320. (pdf)
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10 Apr 2012 Approval
of:
SR-NYSEAmex-2012-20; Release No.
34-66776--
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Amendments to its Price List to Raise the Supplemental Liquidity Provider Rebate and Raise the NYSE Crossing Session II Rate and Fee Cap
(pdf)
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Federal Register Publication
of: SR-NYSEAmex-2012-20 - 77 FR 22624
(16 Apr 2012) (pdf)
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SR-NYSEAmex-2012-20; Filed:
29 Mar 2012.
Release No. 34-66776 --
Proposal to amend its Price List to raise the Supplemental Liquidity Provider rebate and raise the NYSE Crossing Session II rate and fee cap (pdf)
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26 Mar 2012 Approval
of:
SR-NYSEAmex-2012-19; Release No.
34-66663--
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Clarifying that Rule Change in Connection with Proposed Combination Between NYSE Euronext and Deutsche Börse AG Will Not Become Effective
(pdf)
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Federal Register Publication
of: SR-NYSEAmex-2012-19 - 77 FR 19394
(30 Mar 2012) (pdf)
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SR-NYSEAmex-2012-19; Filed:
16 Mar 2012.
Release No. 34-66663 --
Proposal to clarify that the proposed rule change previously submitted by the Exchange (the “Holdco Proposal”) and conditionally approved by the Securities and Exchange Commission (“Commission”) in connection with the proposed business combination of NYSE Euronext, a Delaware corporation, and Deutsche Börse AG, an Aktiengesellschaft organized under the laws of the Federal Republic of Germany (“Deutsche Börse”), (the “Combination”) will not become effective (pdf)
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23 Mar 2012 Approval
of:
SR-NYSEAmex-2012-18; Release No.
34-66649--
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 29, 2013
(pdf)
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Federal Register Publication
of: SR-NYSEAmex-2012-18 - 77 FR 19047
(29 Mar 2012) (pdf)
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SR-NYSEAmex-2012-18; Filed:
12 Mar 2012.
Release No. 34-66649 --
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 30, 2012, until March 29, 2013. (pdf)
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14 Mar 2012 Approval
of:
SR-NYSEAmex-2012-17; Release No.
34-66599--
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Fee Changes Relating to Trading Nasdaq Securities Pursuant to Unlisted Trading Privileges
(pdf)
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Federal Register Publication
of: SR-NYSEAmex-2012-17 - 77 FR 16302
(20 Mar 2012) (pdf)
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SR-NYSEAmex-2012-17; Filed:
01 Mar 2012.
Release No. 34-66599 --
Proposal to amend its 2012 Price List (“Price List”) for certain fees relating to trading securities listed on the Nasdaq Stock Market LLC (“Nasdaq securities”) pursuant to unlisted trading privileges (“UTP”). (pdf)
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09 Mar 2012 Approval
of:
SR-NYSEAmex-2012-16; Release No.
34-66561--
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Changes to the Per Contract Execution Costs for Certain Participants
(pdf)
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Federal Register Publication
of: SR-NYSEAmex-2012-16 - 77 FR 15429
(15 Mar 2012) (pdf)
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SR-NYSEAmex-2012-16; Filed:
29 Feb 2012.
Release No. 34-66561 --
Proposal to amend the NYSE Amex Options Fee Schedule (“Fee Schedule”) to increase the per contract execution costs for certain participants. (pdf)
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06 Mar 2012 Approval
of:
SR-NYSEAmex-2012-15; Release No.
34-66518--
Proposed Rule Change Implementing Changes to the NYSE Amex Options Fee Schedule to Add Fees for Reserve Floor Market Maker Amex Trading Permits
(pdf)
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Federal Register Publication
of: SR-NYSEAmex-2012-15 - 77 FR 14579
(12 Mar 2012) (pdf)
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SR-NYSEAmex-2012-15; Filed:
28 Feb 2012.
Release No. 34-66518 --
Proposal to amend the NYSE Amex Options Fee Schedule (“Fee Schedule”) to add fees for Reserve Floor Market Maker Amex Trading Permits (“Reserve ATPs”). (pdf)
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23 Feb 2012 Approval
of:
SR-NYSEAmex-2012-14; Release No.
34-66450--
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Correcting the Formatting of a Recently Adopted NYSE Amex Rule
(pdf)
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Federal Register Publication
of: SR-NYSEAmex-2012-14 - 77 FR 12339
(29 Feb 2012) (pdf)
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SR-NYSEAmex-2012-14; Filed:
17 Feb 2012.
Release No. 34-66450 --
Proposal to correct the formatting of a recently adopted NYSE Amex Rule. (pdf)
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28 Feb 2012 Approval
of:
SR-NYSEAmex-2012-13; Release No.
34-66482--
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Filing the Content Outline and Selection Specifications for the Proprietary Traders Qualification Examination ("Series 56") Program
(pdf)
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Federal Register Publication
of: SR-NYSEAmex-2012-13 - 77 FR 13170
(05 Mar 2012) (pdf)
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SR-NYSEAmex-2012-13; Filed:
15 Feb 2012.
Release No. 34-66482 --
Filing the content outline and selection specifications for the Proprietary Traders Qualification Examination (“Series 56”) program. (pdf)
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02 Apr 2012 Approval
of:
SR-NYSEAmex-2012-12; Release No.
34-66710--
Order Approving a Proposed Rule Change Amending the NYSE Amex Equities Definition of Approved Person to Exclude Foreign Affiliates, Eliminating the Application Process for Approved Persons, and Making Related Technical and Conforming Changes
(pdf)
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Federal Register Publication
of: SR-NYSEAmex-2012-12 - 77 FR 20869
(06 Mar 2012) (pdf)
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SR-NYSEAmex-2012-12; Filed:
14 Feb 2012.
Release No. 34-66710 --
Proposal to amend the NYSE Amex equities definition of approved person to exclude foreign affiliates, eliminate the application process for approved persons, and make related technical and conforming changes. (pdf)
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23 Feb 2012 Approval
of:
SR-NYSEAmex-2012-11; Release No.
34-66453--
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Registration Requirements for Traders
(pdf)
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Federal Register Publication
of: SR-NYSEAmex-2012-11 - 77 FR 12345
(29 Feb 2012) (pdf)
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SR-NYSEAmex-2012-11; Filed:
09 Feb 2012.
Release No. 34-66453 --
Proposal to amend its registration requirements for traders. (pdf)
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13 Apr 2012 Approval
of:
SR-NYSEAmex-2012-10; Release No.
34-66809--
Order Granting Approval of a Proposed Rule Change Amending NYSE Amex Rule 476A to Update Its "List of Equities Rule Violations and Fines Applicable Thereto" .
(pdf)
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Federal Register Publication
of: SR-NYSEAmex-2012-10 - 77 FR 23532
(19 Apr 2012) (pdf)
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SR-NYSEAmex-2012-10; Filed:
16 Feb 2012.
Release No. 34-66809 --
Proposal to amend NYSE Amex Rule 476A to update its “List of Equities Rule Violations and Fines Applicable Thereto. (pdf)
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07 Feb 2012 Approval
of:
SR-NYSEAmex-2012-09; Release No.
34-66349--
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .05 to NYSE Amex Options Rule 903 to Allow Trading of Options on iShares® Silver Trust and United States Oil Fund at $0.50 Strike Price Intervals Where the Strike Price is Less than $75
(pdf)
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Federal Register Publication
of: SR-NYSEAmex-2012-09 - 77 FR 7637
(13 Feb 2012) (pdf)
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SR-NYSEAmex-2012-09; Filed:
06 Feb 2012.
Release No. 34-66349 --
Proposal to amend Commentary .05 to NYSE Amex Options Rule 903 to allow trading of options on iShares® Silver Trust and United States Oil Fund at $0.50 strike price intervals where the strike price is less than $75. (pdf)
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16 Feb 2012 Approval
of:
SR-NYSEAmex-2012-08; Release No.
34-66412--
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating Deleting NYSE Amex Equities Rule 319, Which Addresses Fidelity Bond Requirements, and Adopt New Rule Text that is Substantially Similar to FINRA Rule 4360
(pdf)
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Federal Register Publication
of: SR-NYSEAmex-2012-08 - 77 FR 10791
(23 Feb 2012) (pdf)
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SR-NYSEAmex-2012-08; Filed:
03 Feb 2012.
Release No. 34-66412 --
Proposal to delete NYSE Amex Equities Rule 319, which addresses fidelity bond requirements, and adopt new rule text that is substantially similar to FINRA Rule 4360. (pdf)
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15 Feb 2012 Approval
of:
SR-NYSEAmex-2012-07; Release No.
34-66400--
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 123C(4) to Provide for How Certain Interest is Included in the Calculation of MOC and LOC Imbalances
(pdf)
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Federal Register Publication
of: SR-NYSEAmex-2012-07 - 77 FR 10584
(22 Feb 2012) (pdf)
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SR-NYSEAmex-2012-07; Filed:
03 Feb 2012.
Release No. 34-66400 --
Proposal to amend NYSE Amex Equities Rule 123C(4) to provide for how certain interest is included in the calculation of MOC and LOC imbalances. (pdf)
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10 Feb 2012 Approval
of:
SR-NYSEAmex-2012-05; Release No.
34-66376--
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending an Existing Rebate Relating to Qualified Contingent Cross Orders that are Entered and Executed Through the Exchange Systems
(pdf)
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Federal Register Publication
of: SR-NYSEAmex-2012-05 - 77 FR 9293
(16 Feb 2012) (pdf)
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SR-NYSEAmex-2012-05; Filed:
30 Jan 2012.
Release No. 34-66376 --
Proposal to amend an existing rebate relating to Qualified Contingent Cross (“QCC”) orders that are entered and executed through the Exchange systems. (pdf)
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13 Feb 2012 Approval
of:
SR-NYSEAmex-2012-03; Release No.
34-66385--
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide for "Self-Trade Prevention" on the Exchange
(pdf)
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Federal Register Publication
of: SR-NYSEAmex-2012-03 - 77 FR 9719
(17 Feb 2012) (pdf)
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SR-NYSEAmex-2012-03; Filed:
30 Jan 2012.
Release No. 34-66385 --
Proposal to add new Commentary .02 to NYSE Amex Options Rule 964NY (Display, Priority and Order Allocation - Trading Systems) to provide for “Self-Trade Prevention” on the Exchange. (pdf)
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25 Jan 2012 Approval
of:
SR-NYSEAmex-2012-02; Release No.
34-66237--
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Options Rule 902NY to Create a Reserve Floor Market Maker Amex Trading Permit
(pdf)
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Federal Register Publication
of: SR-NYSEAmex-2012-02 - 77 FR 4848
(31 Jan 2012) (pdf)
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SR-NYSEAmex-2012-02; Filed:
24 Jan 2012.
Release No. 34-66237 --
Proposa; to amend NYSE Amex Options Rule 902NY to create a Reserve Floor Market Maker Amex Trading Permit (“Reserve ATP”). (pdf)
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