Rules Changes

Below are posted selected proposed rule changes, called 19b4 filings, filed by the NYSE with the U.S. Securities and Exchanges Commission (SEC).  19b4 filings relate to proposed changes to the NYSE Constitution & Rules.

Please be advised that the SEC has not yet approved these proposed rule changes. In addition, the rule filings that are eventually published in the Federal Register by the SEC may differ from the texts posted here.

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



2005
SR-NYSE-2005-93: Proposed amendments to Rules 431 and 726 to expand the scope of products eligible for Portfolio Margin treatment pursuant to an SEC approved Pilot Program. (pdf)
SR-NYSE-2005-92: Proposal would increase certain prescribed regulatory and examination fees. (pdf)
Aprroved 1/6/06
Approval to SR-NYSE-2005-91; Release 34-53071 -- Immediate effectiveness of proposed rule change to revise certain of the exchange’s facility and equipment fees and system processing fees charged to members. (pdf)
SR-NYSE-2005-91: Filing revises certain facility and equipment fees and system processing fees charged to members. (pdf)
SR-NYSE-2005-90: Proposal to amend Rule 409 to allow institutional customers to opt out of receiving monthly or quarterly statements in certain instances. (pdf)
Approved: 12/22/05
Approval to SR-NYSE-2005-89; Release No. 34-53014 – Immediate effectiveness of proposed rule change to extend the pilot for NYSE Direct+® until December 23, 2006. (pdf)
SR-NYSE-2005-89: Proposal to extend the Direct+® Pilot until December 23, 2006. (pdf)
Approved: 12/16/05
Approval to SR-NYSE-2005-88; Release 34-52974-- Immediate effectiveness of proposed rule change relating to the waiver of initiation fees charged to new lessee members. (pdf)
SR-NYSE-2005-88: Filing waives initiation fees charged to new lessee members. (pdf)

Amendment No. 1 to SR-NYSE-2005-88: Amendment No. 1 adds clarifications and makes technical changes. (pdf)

Approved: 12/14/05
Approval to SR-NYSE-2005-87; Release No. 34-52954 -- Order granting accelerated approval of a proposed rule change relating to the Pilot to put into operation Phase 1 of the NYSE HYBRID MARKETsm (pdf)
SR-NYSE-2005-87: The NYSE is proposing a pilot to put into operation Phase 1 of the NYSE HYBRID MARKETSM initiative, as proposed in SR-NYSE-2004-05 and amendments thereto with respect to a group of securities trading on the Exchange.(pdf)
Amendment No. 1 to SR-NYSE-2005-87: Amendment No. 1 identifies securities subject to the Pilot and makes corrections. (pdf)

SR-NYSE-2005-86: Proposal to amend Rules 123C and 476A to conform with recently amended Rule 80A (Index Arbitrage Trading Restrictions). (pdf)

Approved: 12/14/05
Approval to SR-NYSE-2005-85; Release No. 34-52915-- Immediate effectiveness of proposed Rule change relating to revisions to the Study Outline and Selection Specifications for the Limited Principal – General Securities Sales Supervisor (Series 9/10) Examination Program. (pdf)

SR-NYSE-2005-85: Revisions to the Series 9/10 examination program. (pdf)

Approved: 12/07/05
Approval to SR-NYSE-2005-84; Release No. 34-52921-- Immediate effectiveness of proposed Rule change relating to revisions to the Study Outline and Selection Specifications for the Limited Principal – Registered Options (Series 4) Examination Program. (pdf)

SR-NYSE-2005-84: Revisions to the Series 4 examination program. (pdf)

Approved: 12/05/05
Approval to SR-NYSE-2005-83; Release 34-52891-- Immediate effectiveness of proposed rule change relating to the Exchange's Certificate of Incorporation, Constitution and Rules to allow Limited Liability Companies to become members and related changes to the Exchange's 2005 Price List.  (pdf)

SR-NYSE-2005-83: This filing implements amendments to the NYSE Constitution to permit LLCs to hold seats and proposes rules to permit transfers of seats to LLCs, primarily where such LLCs are owned either by grantor retained annuity trusts established by the transferor or by immediate family members of the transfer. (pdf)

Amendment No. 1 to SR-NYSE-2005-83: Amendment No. 1 is being filed to respond to SEC Staff comments and to make technical changes.  (pdf)
Amendment No. 2 to SR-NYSE-2005-83: Amendment No. 2 makes further clarifications and makes changes to the 2005 price list included in Exhibit 5.  (pdf)
Approved: 12/05/05

Approval to SR-NYSE-2005-82; Release 34-52887 -- Immediate effectiveness of proposed Rule change relating to a Pilot Program relating to minimum numerical standards in Section 102.01A of the Listed Company Manual (pdf)

SR-NYSE-2005-82: Filing relates to a proposed Pilot Program for the Exchange's minimum distribution standards. (pdf)

Amendment No. 1 to SR-NYSE-2005-82: Amendment No. 1 replaces the original filing in its entirety and relates to a proposed Pilot Program for the Exchange's minimum distribution standards (Listed Company Manual section 102.01A). (pdf)

SR-NYSE-2005-81: Filing proposes changes to Section 303A of the NYSE's Listed Company Manual relating to corporate governance.  (pdf)

SR-NYSE-2005-80: Filing consists of two proposed Member Education Bulletins which describe the conditions under which an RCMM, as defined in NYSE Rule 107A, and a Floor broker may use a portable phone pursuant to the Exchange’s portable phone pilot. (pdf)

SR-NYSE-2005-79: Proposal to clarify proposed rule change submitted as 2005-57 (approved by SEC), which proposed to systematize certain functions currently performed manually regarding the execution of elected stop orders and CAP-DI orders and converted CAP-DI orders.  (pdf)

SR-NYSE-2005-78: Proposal to limit access to the Exchange Floor while fingerprint checks and background reports are processed (Rules 35 & 301) (pdf)

SR-NYSE-2005-77: Proposal for corporate structure and governance, trading licenses and other rule changes related to the merger creating the NYSE Group. (pdf)
Amendment No. 1 to SR-NYSE-2005-77: Amendment No. 1 to proposal for corporate structure and governance, trading licenses and other rule changes related to the merger creating the NYSE Group.  (pdf)
Amendment No. 5 of the Plan to Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS Under the Securities Exchange Act of 1934 (pdf)
Amendment 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)
Amendment No. 3 to SR-NYSE-2005-77: Amendment No. 3 clarifies and makes conforming changes and replaces Amendment No. 2 (withdrawn) in its entirety (pdf)
Amendment No. 4 to SR-NYSE-2005-77: Amendement No. 4 changes the trading license auction provisions of the filing and makes certain other minor technical changes. (pdf)
Amendment No. 5 to SR-NYSE-2005-77: Amendment No.5 changes the trading license provisions of the filing and makes certain other minor technical changes (replaces withdrawn Amendment No. 4 in its entirety). (pdf)
Approved: 11/10/05

Approval to SR-NYSE-2005-76; Release 34-52761 -- Immediate effectiveness of a proposed Rule change relating to iShares® Index Funds of iShares Trust and iShares, Inc. (pdf)

SR-NYSE-2005-76: Proposal to list and trade a number of iShares Index Funds which are Investment Company Units under Section 703.16 of the Listed Company Manual. All of the Funds relate to foreign equities. (pdf)

SR-NYSE-2005-75: Filing relates to proposed changes to Section 802.01E of the Listed Company Manual.  (pdf)

SR-NYSE-2005-74: Filing consists of a NYSE Information Memo that reflects the Exchange’s longstanding interpretation of NYSE Rule 108(a) to allow brokers to permit specialists who are establishing or increasing positions in their specialty securities to be on parity with the trading crowd. (pdf)

Approved: 12/15/05
Approval to SR-NYSE-2005-73; Release 34-52958-- Order granting accelerated approval of proposed rule change to Rule 600, relating to Arbitration. (pdf)
SR-NYSE-2005-73: Proposal to rescind Rule 600(g), a pilot rule relating to the waiver of the California Ethics Standards for Neutral Arbitrators in Contractual Arbitrations.  (pdf)

SR-NYSE-2005-72: Filing seeks to amend Sections 804.00 and 806.02 of the Listed Company Manual to revise the delisting procedures to comply with new Commission Rule 12d2-2. (pdf)

Amendment No. 1 to SR-NYSE-2005-72: Amendment No. 1 makes clarifying and technical changes. (pdf)
Approved: 10/25/05
Approval to SR-NYSE-2005-71; Release No. 34-52674 -- Order granting accelerated approval to a proposed Rule change to establish certain fees with respect to transactions executed through the Intermarket Trading System.  (pdf)
SR-NYSE-2005-71: Filing proposes to enter into arrangements with other self-regulatory organizations (“SRO”) to pass certain fees they have collected from members for transactions executed on another SRO through the Intermarket Trading System.  (pdf)
Approved: 11/21/05

Approval to SR-NYSE-2005-70: Release 34-52816; Order granting accelerated approval of proposed rule change relating to iShares® MSCI Index Funds. (pdf)

SR-NYSE-2005-70: Listing of various iShares MSCI European country index funds. (pdf)

SR-NYSE-2005-70 Extension Letter: The Exchange hereby consents to an extension of time for Commission action until November 23, 2005. (pdf)

SR-NYSE-2005-69: This filing clarifies the proposed rule change submitted in SR-NYSE-2005-57 regarding CAP-DI orders.  (pdf)
SR-NYSE-2005-69: WITHDRAWAL of SR-NYSE-2005-69.  (pdf)

SR-NYSE-2005-68: Filing proposes changes to certain provisions of the NYSE's Listed Company Manual, including with respect to annual meetings and the distribution of annual reports. (pdf)

Approval to SR-NYSE-2005-67: Proposal to list on the NYSE the iShares® Dow Jones U.S. Energy Sector Index Fund and iShares Dow Jones U.S. Telecommunications Sector Index Fund.  (pdf)
SR-NYSE-2005-67: Proposal to list on the NYSE the iShares® Dow Jones U.S. Energy Sector Index Fund and iShares Dow Jones U.S. Telecommunications Sector Index Fund.  (pdf)
Approved: 11/28/05

Approval to SR-NYSE-2005-66; Release 34-52838 -- Order granting accelerated approval of proposed Rule change to amend Rule 460 (Specialists Participating in Contests) (pdf)

SR-NYSE-2005-66: Filing seeks to amend Exchange Rule 460 to add an exemption to allow business transactions between specialists and the Sponsor of an ETF under certain conditions, as long as the specialist discloses any non-routine business transaction or relationship with the Sponsor of an ETF. (pdf)

Amendment No. 1 to SR-NYSE-2005-66: Amendment No. 1 makes minor clarifications. (pdf)

Approved: 11/28/05
Approval to SR-NYSE-2005-65; Release 34-52843 -- Order granting accelerated approval of a proposed Rule change regarding the Euro Currency Trust  (pdf)
SR-NYSE-2005-65: Listing of Euro Currency Trust under new Rules 1300A et seq. ("Currency Trust Shares").  (pdf)
Approved: 11/10/05

Approval to SR-NYSE-2005-64; Release 34-52768 -- Order approving proposed Rule change to add Rules regarding time tracking requirements of specialists and specialist organizations to its Minor Rule Violation Plan (pdf)

SR-NYSE-2005-64: Proposal to amend Rule 476A in order to add Rule 103.12 to its “List of Exchange Rule Violations and Fines Applicable Thereto Pursuant to Rule 476A.” (pdf)

Approved: 10/21/05
Approval to SR-NYSE-2005-63: Release No. 34-52648 -- Immediate effectiveness of proposed rule change to place an immediate moratorium on the qualification and registration of new Competitive Traders and Registered Competitive Market Makers  (pdf)
SR-NYSE-2005-63: The proposed rule interpretation seeks approval for immediate effectiveness of the Exchange’s ability to place a moratorium on the qualification and registration of new Competitive Traders and Registered Competitive Market Makers covered in Rules 110 and 107A, respectively.  (pdf)
Approved: 10/26/05

Approval to SR-NYSE-2005-62; Release No. 34-52683 -- Order granting approval to proposed Rule change relating to Trade Shredding. (pdf)

SR-NYSE-2005-62: Proposal to add NYSE Rule 123G (Trade Shredding) to prohibit members and member organizations from unbundling customer orders for execution for the primary purpose of maximizing a monetary or in-kind amount received by the member or member organization in connection with executing the order. (pdf)

Approved: 10/06/05
Approval to SR-NYSE-2005-61: Release 34-52569 -- Immediate effectiveness of proposed Rule change relating to an Interpretation of Rule 452.  (pdf)
SR-NYSE-2005-61: Filing seeks to amend the interpretation of Rule 452 (Giving Proxies by Member Organizations), relating to investment advisor contracts.  (pdf)
  Amendment No. 1 has been replaced in its entirety by Amendment No. 2
Amendment No. 2 to SR-NYSE-2005-61: Amendment No. 2 makes minor clarifications, corrects for a minor technical error and replaces Amendment No. 1 in its entirety. (pdf)

SR-NYSE-2005-60: Filing proposes new Rules 342.24 (Annual Branch Office Inspection, Rule 342.25 (Risk-Based Surveillance and Branch Office Identification) to permit member organizations to classify appropriate branch offices for cyclical inspections and 342.26 (Criteria of Inspections) and a repositioning of the Interpretation of Rule 342(a)(b)/03. (pdf)

Amendment No. 1 to File No. SR-NYSE-2005-60: Amendment No. 1 replaces the original filing in its entirety. (pdf)

SR-NYSE-2005-59: Filing proposes new Rule 345B to permit individuals registered with member organizations to maintain their registration after departure from the member organization, consistent with continuing education obligations and employment in a securities related business.  (pdf)

SR-NYSE-2005-58: Filing seeks to amend Rule 312(g) to permit member organizations to make recommendations of and solicit transaction in securities of organizations which they control or which are under common control with them, subject to appropriate disclosure. (pdf)

Approved: 8/30/05

Approval to SR-NYSE-2005-57: Release 34-52362 -- Immediate effectiveness of a proposed Rule change automating the execution of elected stop orders and CAP-DI orders and converted CAP-DI orders.  (pdf)

SR-NYSE-2005-57: Filing seeks to systematize the execution and reporting of elected stop orders and CAP-DI orders, which are now manually traded, executed, and reported by the specialist. (Rules 13 and 123A.30; Re-File of SR-NYSE-2005-34).  (pdf)

Approved: 8/22/05

Approval to SR-NYSE-2005-56: Release 34-52316 -- Immediate effectiveness of proposed rule change relating to amendments to Rule 629 ("schedule of fees") to establish processing fees for members, member organizations, and allied members that are parties to arbitration proceedings.  (pdf)

SR-NYSE-2005-56: Proposed rule changes to Rule 629 would establish certain processing fees for members, member organizations, and allied members that are parties to arbitration proceedings. (pdf)

Approved: 9/08/05

Approval to SR-NYSE-2005-55: Release 34-52396 – Immediate effectiveness of proposed Rule change relating to the deletion of superseded Corporate Governance standards.  (pdf)

SR-NYSE-2005-55: Filing seeks to delete Sections 303.00, 303.01 and 303.02 of the Exchange's Listed Company Manual in their entirety as they have been superseded in their entirety by Section 303A (Re-filed from previous filing dated 8/3/05, rejected by SEC).  (pdf)

Approved: 9/14/05

Approval to SR-NYSE-2005-54: Release 34-52421 -- Order granting accelerated approval of a proposed Rule change to amend NYSE Rule 123C (Market on the Close Policy and Expiration Procedures) to eliminate the requirement to publish pre-opening market order imbalances on expiration Fridays.  (pdf)

SR-NYSE-2005-54: Filing seeks to amend NYSE Rule 123C (Market on the Close Policy and Expiration Procedures) to eliminate the requirement to publish pre-opening market order imbalances on expiration Fridays. (pdf)

Approved: 8/01/05

Approval to SR-NYSE-2005-53: Release No. 34-52188 -- Immediate effectiveness of proposed rule change to extend for additional six months the pilot program permitting a floor broker to use an Exchange authorized and provided portable telephone on the Exchange floor.  (pdf)

SR-NYSE-2005-53: Filing relates to an extension to the Portable Phone pilot program to January 31, 2006. (pdf)

Approved: 7/28/05

Approval to SR-NYSE-2005-52: Release 34-52155 -- Notice of filing and immediate effectiveness of proposed rule change relating to voluntary supplemental procedures for selecting arbitrators.  (pdf)

SR-NYSE-2005-52: Filing relates to an extension to the Voluntary Supplemental Procedures for Selecting Arbitrators pilot program to November 30, 2005. (pdf)

Approved: 7/28/05

Approval to SR-NYSE-2005-51: Release No. 34-52154 – Immediate Effectiveness of Proposed Rule Change to Eliminate the “All or None” and “Fill or Kill” Order Types in the Exchange’s Equity Market.  (pdf)

SR-NYSE-2005-51: Filing seeks change to Rules 13, 79A.15, 123B, and 806 in order to eliminate the All or None and Fill or Kill order types in the Exchange’s equity markets.  (pdf)

Approved: 11/28/05

Approval to SR-NYSE-2005-50; Release 34-52842 -- Order approving proposed Rule change relating to proposed amendments to Rules 282 (Mandatory Buy-In), 284 (Procedure for Closing Defaulted Contract), 289 (Must Receive Delivery), and 290 (Defaulting Party May Deliver After Notice of Intention to Close) (pdf)

SR-NYSE-2005-50: Filing seeks to standardize buy-in rules and procedures (amendments to Rules 282, 284, 289 and 290). (pdf)

SR-NYSE-2005-50: Filing seeks to standardize buy-in rules and procedures (amendments to Rules 282, 284, 289 and 290). (pdf)

Approved: 7/28/05

Approval to SR-NYSE-2005-49: Release No. 34-52160 – Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Removal of Size and Frequency Restrictions on Orders Entered through Direct+ in Investment Company Units, Trust Issued Receipts and streetTRACKS® Gold Shares.  (pdf)

SR-NYSE-2005-49: Filing seeks change to Rule 13 in order to eliminate size restriction for orders entered through NYSE Direct+® in exchange traded funds ("ETFs"). In addition, time restriction in Rule 1005 is proposed to be eliminated for ETF orders entered through Direct+.  (pdf)
Amendment No. 1 to File No. NYSE-2005-49: Makes technical changes to the rule text.  (pdf)

SR-NYSE-2005-48: Filing seeks an amendment to Rule 619 relating to subpoenas in arbitration. (pdf)

Approved: 8/12/05

Approval to SR-NYSE-2005-47: Release 34-52251 -- Immediate Effectiveness of Proposed Rule Change and Amendment No. 2 Thereto Relating to NYSE Rule 103.12 Requiring Specialists and Clerks to Record Their Time on the Trading Floor of the Exchange.  (pdf)

SR-NYSE-2005-47: Filing seeks to amend NYSE Rule 103.12 to require specialists and their clerks to record the time they spend on the Floor of the Exchange working in those capacities.  (pdf)
Amendment No. 1 to File No. NYSE-2005-47: Clarifies that the specialist organization as well as individual specialists and Floor clerks must comply with separate obligations under the proposed rule.  (pdf)
Withdrawal of Amendment No. 1 to SR-NYSE-2005-47, which was replaced in its entirety by Amendment No. 2.  (pdf)
Amendment No. 2 to File No. NYSE-2005-47: Replaces Am. No. 1 (withdrawn) in its entirety. Makes clarifying changes to original filing (Rule 103.12) to require specialists and their clerks to record the time they spend on the Floor.  (pdf)

SR-NYSE-2005-46: Filing proposes to amend NYSE Rule 123D to shorten the minimum time periods between tape indications and openings or reopenings of a security. (pdf)

Approved: 8/24/05

Approval to SR-NYSE-2005-45: Release 34-52328 -- Order approving proposed rule change to amend NYSE Rule 80a (index arbitrage trading restrictions) to calculate limitations on index arbitrage trading based on the NYSE composite index.  (pdf)

SR-NYSE-2005-45: Filing proposes to amend Rule 80A (Index Arbitrage Trading Restrictions) to calculate limitations on index arbitrage trading as provided in the rule based on the NYSE Composite Index, replacing the current usage of the Dow Jones Industrial Average (DJIA).  (pdf)

Approved: 7/20/05

Approval to SR-NYSE-2005-44: Release No. 34-52081 -- Order granting accelerated approval to a proposed rule change relating to an amendment to Section 703.16 of the Listed Company Manual regarding dissemination of index value and indicative value. (pdf)

SR-NYSE-2005-44: Filing proposes changes to Section 703.16 (B)(3) of the NYSE Listed Company Manual relating to dissemination of index information for Investment Company Units. (pdf)

SR-NYSE-2005-43: Filing proposes change to Rule 607 relating to the classification of arbitrators as public or industry.  (pdf)
Amendment No. 1 to File No. NYSE-2005-43: Clarifies implementation timing and similar rule proposals at other Exchanges.  (pdf)

Approved: 6/17/05

Approval to SR-NYSE-2005-42: Release No. 34-51872 -- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Specialist Marketing and Investor Education Fee for Investment Company Units (pdf)

SR-NYSE-2005-42: Filing proposes to charge a fee to specialists allocated listed Investment Company Units in circumstances where the Exchange provides funds to a third party for marketing and investor education. (pdf)

Approved: 7/29/05

Approval to SR-NYSE-2005-41: Release No. 34-52178 -- Order granting accelerated approval of proposed rule change and Amendment No. 1 thereto relating to iShares® MSCI EAFE Growth Fund and iShares MSCI EAFE Value Fund.  (pdf)

SR-NYSE-2005-41: Filing seeks approval of SEC to list and trade two exchange traded funds -- iShares® MSCI EAFE Value Index Fund and iShares® MSCI EAFE Growth Index Fund.  (pdf)
Amendment No.1 to File No. SR-NYSE-2005-41: Is a non-substantive amendment giving greater detail requested by the SEC relating to listing of iShares MSCI EAFE Value Index Fund and iShares MSCI EAFE Growth Index Fund.  (pdf)

SR-NYSE-2005-40: Filing proposes changes to Rules 103A, 103B, 123E and 476A with respect to the manner in which securities are allocated to specialist organizations. (pdf)

Amendment No. 1 to SR-NYSE-2005-40: Amendment No. 1 replaces the original filing in its entirety and makes clarifications regarding policies and procedures for allocations of securities to specialists (Rules 103A, 103B, 123E and 476A). (pdf)

Approved: 7/12/05

Approval to SR-NYSE-2005-39: Release No. 34-52018 – Immediate effectiveness of a proposed rule change to amend NYSE Rule 440H relating to activity assessment fees.  (pdf)

SR-NYSE-2005-39: Filing proposes changes to NYSE Rule 440H to reflect SEC changes in collection of Section 31 fees. The amendment changes the name of the Section 31-related fees the Exchange charges the Membership from "Transaction Fees" to "Activity Assessment Fees," and deletes Rule 440H language relating to Form 120-A (which will no longer be required).  (pdf)
Amendment No. 1 to File No. NYSE-2005-39: Amendment No. 1 makes minor non-substantive change to the filing regarding Rule 440.  (pdf)

SR-NYSE-2005-38: Filing proposes amendments to Exchange Rules 104 and 123E to amend specialist organization capital requirements. (pdf)

  Amendment No. 1 to file SR-NYSE-2005-38: Replaces the original filing in its entirety and proposes to amend Rules 104 and 123E to change the capital requirement of specialist organizations in order to more accurately address market risks and volatility, and to eliminate the “marriage penalty” capital requirement for specialist organization combinations.  (pdf)
SR-NYSE-2005-37: Filing seeks to amend Article IX of the NYSE Constitution and Rules 475 and 476 to modify certain aspects of the Exchange's disciplinary procedures and matters pertaining to the Hearing Board and Hearing Panel.  (pdf)
Amendment No. 1 to file SR-NYSE-2005-37: Makes technical changes and responds to Commission comments on the proposed rule texts.  (pdf)
Amendment No. 2 to file SR-NYSE-2005-37: Amendment No. 2 makes minor technical changes.  (pdf)
SR-NYSE-2005-37 Extension Letter: The Exchange consented to extension of time for Commission action until January 6, 2006.  (pdf)
Amendment No. 3 to file SR-NYSE-2005-37: Amendment No. 3 consists of technical changes and provides for implementation of the new rules on or about April 1, 2006  (pdf)

SR-NYSE-2005-36: Filing proposes to establish time frames for the “independent testing” requirement of Rule 445, independence and qualification standards for testers, and clarifies AML officer affiliation requirements. (“Anti-Money Laundering Compliance Program”) (pdf)

Approved: 10/28/05
Approval to SR-NYSE-2005-35; Release 34-52696 -- Order approving a proposed Rule change relating to changes to Listed Company Manual Section 902.00 regarding listing fees.  (pdf)
SR-NYSE-2005-35: This filing relates to Section 902.00 of the New York Stock Exchange's Listed Company Manual and relates to changes in certain listing fees, clarification of existing policies and the reorganization of the fee chapter text.  (pdf)
Amendment No.1 to File No. SR-NYSE-2005-35: Clarifies certain aspects of the proposed rules and incorporates comments from the Division of Market Regulation.  (pdf)
Amendment No.2 to File No. SR-NYSE-2005-35: Is in response to comments with respect to Amendment No. 1 provided by the Commission staff. (LCM Section 902.00 – listing fees).  (pdf)

SR-NYSE-2005-34: Filing seeks to systematize the execution and reporting of elected stop orders and CAP-DI orders, which are now manually traded, executed, and reported by the specialist. (pdf)

Withdrawal of SR-NYSE-2005-34, which has been replaced in its entirety by SR-NYSE-2005-57. (pdf)

SR-NYSE-2005-33: Filing withdrawn and replaced by SR-NYSE-2005-35 

SR-NYSE-2005-32: Rule change seeks to amend display requirements regarding vendor distribution of NYSE OpenBook® information. (pdf)

Amendment No. 1 to File No. NYSE-2005-32: Provides a marked copy of the revised Exhibit C to show proposed changes regarding display requirements to which vendors may distribute to their customers NYSE OpenBook® information  (pdf)

SR-NYSE-2005-32 Extension Letter: The Exchange hereby consents to an extension of time for Commission action until September 30, 2005. (pdf)
SR-NYSE-2005-32 Extension Letter: The Exchange hereby consents to an extension of time for Commission action until October 31, 2005. (pdf)
SR-NYSE-2005-32 Extension Letter: The Exchange consents to an extension of time for Commission action until November 30, 2005. (pdf)
Approved: 5/25/05

Approval to SR-NYSE-2005-31: Release No. 34-51744 – Immediate effectiveness of proposed rule change relating to interpretation of Exchange rules.  (pdf)

SR-NYSE-2005-31: Proposed rule change is an Information Memo providing certain interpretations of rules concerning the application of those rules in connection with the Pilot Program established by the SEC under Rule 202T of Regulation SHO (17 CFR 242.202T).  (pdf)

Approved: 5/13/05

Approval to SR-NYSE-2005-30: Release No. 34-51695. Immediate effectiveness of proposed rule change relating to the reduction of transaction fees for Exchange-Listed Traded Funds. (pdf)

SR-NYSE-2005-30: Proposal to amend transaction fee schedule for transactions in Exchange Traded Funds. (pdf)

Amendment No. 1 to File No. NYSE-2005-30: Makes minor technical changes to the original filing, which proposes to amend transaction fee schedule for transactions in Exchange Traded Funds.  (pdf)

Approved: 7/12/05

Approval to SR-NYSE-2005-29: Release No. 34-52016 – Order granting approval of a proposed rule change to Rule 637, relating to failure to honor an arbitration award.  (pdf)

SR-NYSE-2005-29: Filing seeks to eliminate discrepancy between Rules 637 and 476A by amending Rule 637 to delete its reference to Rule 476A  (pdf)

Approved: 4/28/05

Approval to SR-NYSE-2005-28: Release No. 34-51628 – immediate effectiveness of proposed rule change relating to its original financial listing standards pilot program. (pdf)

SR-NYSE-2005-28: Filing relates to an extension to the NYSE's initial financial listing standards Pilot Program. (pdf)

Approved: 5/18/05

Approval to SR-NYSE-2005-27: Release No. 34-51706 – Order granting accelerated approval of proposed change and amendment No. 2 relating to listing of PIESSM issued by Sierra Pacific Resources under Section 703.19. (pdf)

SR-NYSE-2005-27: Filing seeks to enable the Exchange to list a mandatory convertible security (known as "PIES") of Sierra Pacific Resources which has a term of less than one year.  (pdf)

Withdrawal of Am. No. 1 to SR-NYSE-2005-27 refiled as Amendment No. 2. (pdf)
Amendment No.2 to File No. SR-NYSE-2005-27: Technical amendment regarding timing of implementation.  (pdf)

Approved: 7/13/05

Approval to SR-NYSE-2005-26: Release No. 34-52026 – Order granting approval to proposed rule change to extend the closing time of Crossing Session II, and to amend Crossing Sessions III and IV to eliminate the share size restriction and the process by which an order is executed if there is no execution prior to 4:00 p.m. (Rule 907). (pdf)

SR-NYSE-2005-26: Seeks to amend Rule 907 re Crossing Sessions II, III and IV to extend closing time from 6:15 to 6:30; to eliminate 10,000 share restriction and to amend the process by which an order is executed if there is no execution prior to 4:00 p.m. (pdf)

Amendment No. 1 to File No. NYSE-2005-26: Purpose section replaces purpose section on original filing; rules on original filing remain intact.  (pdf)

Approved: 5/02/05

Approval to SR-NYSE-2005-25: Release No. 34-51644 - Immediate effectiveness of proposed rule change relating to an exemption from the research qualification examination for certain associated persons employed by non-member foreign affiliates. (pdf)

SR-NYSE-2005-25 The Exchange is proposing an interpretation to NYSE Rule 344 to establish an exemption from the Research Analyst Qualification Examination Requirements for certain foreign research analysts.  (pdf)

Amendment No. 1  to File No. NYSE-2005-25: Partial amendment for minor technical changes relating to Rule 344.  (pdf)

Approved: 4/14/05

Approval to SR-NYSE-2005-24: Release No. 34-51545 – Immediate effectiveness to amend the definition of research analyst in Rule 344 (Research Analysts and Supervisory Analysts) and Rule 472 (Communications with the Public). (pdf)

SR-NYSE-2005-24: The Exchange is proposing to amend its definition of research analyst to include "associated persons" to include natural persons who control or are under the control of members and member organizations. (pdf)

Approved: 5/06/05

Approval to SR-NYSE-2005-23: Release No. 34-51665 - Immediate Effectiveness of a Proposed Rule Change to Seek Permanent Approval of the Pilot Relating to the Allocation Policy for Trading of Exchange-Traded Funds on an Unlisted Trading Privileges Basis (NYSE Rule 103B) (pdf)
SR-NYSE-2005-23: The proposed rule change seeks to adopt on a permanent basis the pilot relating to the allocation policy for trading certain Exchange-Traded Funds, which has been codified in Exchange Rule 103B. (pdf)
SR-NYSE-2005-22: Filing proposes Rule 340 would govern conditions to be satisfied when outsourcing functions to service providers. Amendments to Rule 342 would require annual regulatory review of outsourced core activities. (pdf)

Approved: 8/16/05

Approval to SR-NYSE-2005-21: Release 34-52274 -- Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Temporary Reallocation of Securities Among Specialists. (pdf)
SR-NYSE-2005-21: The NYSE proposes to amend Rule 103.11 to give authority to temporarily reallocate securities from one specialist organization to another to the Chief Regulatory Officer and two non-specialist members of the NYSE Board of Executives. (pdf)
Amendment No. 1  to File No. NYSE-2005-21: Provides additional information on the purpose of the proposed rule change, and to make certain minor nonsubstantive technical changes to the proposed amendment to Rule 103.11.  (pdf)

Approved: 3/31/05

Approval to SR-NYSE-2005-20: Release No. 34-51464 – Immediate effectiveness of proposed rule change to extend for an additional four months its pilot program permitting a floor broker to use an Exchange authorized and provided portable telephone on the Exchange Floor. (pdf)
SR-NYSE-2005-20: The proposal seeks to extend the portable phone pilot for an additional four months, until July 31, 2005. The current pilot expires on March 31, 2005. (pdf)

Approved: 8/16/05

Approval to SR-NYSE-2005-19: Release 34-52269 -- Order Approving Proposed Rule Change to Require Members that Use Appendix E to Calculate Net Capital to File Supplemental and Alternative Reports. (pdf)
SR-NYSE-2005-19: Filing amends Rule 418 to enable the Exchange to require member organizations using the alternative method of computing net capital for broker-dealers that are part of a CSE to file supplemental and alternative reports with the Exchange. (pdf)
SR-NYSE-2005-18: Filing proposes amendments to Rule 619 to clarify that failure to appear or to produce documents in one's possession or control, as directed pursuant the NYSE's arbitration rules, may be deemed conduct inconsistent with the just and equitable principles of trade and a violation of section (a)(6) of NYSE Rule 476. (pdf)
Amendment No. 1 to File No. NYSE-2005-18: Clarifies and describes more fully the purpose for the proposed changes to Rule 619.  (pdf)
SR-NYSE-2005-17: Filing proposes amendments to Rule 472 ("Communications With The Public") that would exempt all communications, except advertising and research reports, from prior-approval requirements if they are directed only to "Qualified Investors" as that term is defined under Section 3(a)(54) of the Securities Exchange Act of 1934. (pdf)
Amendment No. 1 to SR-NYSE-2005-17: Clarifies and re-formats the proposed text in response to comments by Commission staff (re Rule 472 -“Communications With The Public”). (pdf)
Amendment No. 2 to SR-NYSE-2005-17: Makes technical changes and replaces Amendment No. 1 in its entirety. (pdf)
Extension Letter to SR-NYSE-2005-17: This Exchange hereby consents to an extension of time for Commission action until March 31, 2006. (pdf)

Approved: 8/01/05

Approval to SR-NYSE-2005-16: Release No. 34-52182 -- Order approving proposed rule change to rescind the “Nine-Bond Rule” (Rule 396) (pdf)
SR-NYSE-2005-16: Filing proposes rule change to rescind New York Stock Exchange Rule 396 (Off Floor Transactions in Bonds), commonly known as the "nine-bond" rule. (pdf)

Approved: 5/05/05

Approval to SR-NYSE-2005-15: Release No. 34-51661 – Immediate effectiveness of proposed rule change relating to elimination of Rules 499 and 501A. (pdf)
SR-NYSE-2005-15: Filing proposes to eliminate Rule 499, which contains the same standards regarding listings and delistings of NYSE Listed Company Manual Section 801 through 804. (pdf)
Amendment No. 1 to SR-NYSE-2005-15: Reflects minor comments from the SEC on eliminating Rule 499 (pdf)
Amendment No. 2 to SR-NYSE-2005-15: Relates to eliminating Rules 499 and 501A regarding Listed Company suspensions, withdrawals or delistings, now contained in the Listed Company Manual, and eliminating references to Rules 499 and 501A in Section 801.00 of the Listed Company Manual. (pdf)

Approved: 3/18/05

Approval to SR-NYSE-2005-14: Release No. 34-51395 – order granting accelerated approval relating to extension of Arbitration Rule 600(g). (pdf)

SR-NYSE-2005-14: This rule filing is proposing to extend until September 30, 2005 a pilot rule regarding arbitration and the appointment of arbitrators in California. (pdf)

Amendment No. 1 to File No. NYSE-2005-14: Makes minor technical change to the filing on the appointment of arbitrators in California. (pdf)

Approved: 9/30/05

Approval to SR-NYSE-2005-13: Release 34-32543 – Order approving proposed rule change relating to the proposed Uniform Branch Office Registration Form ("Form BR"). (pdf)
SR-NYSE-2005-13: The NYSE submitted new Uniform Branch Office Form (Form BR) for approval by the SEC. The proposed Form BR will enable Exchange members and member organizations to submit branch office application information electronically to the Exchange, NASD, and states through the CRD. (pdf)
SR-NYSE-2005-13 (resubmitted 4/13/05): The NYSE submitted new Uniform Branch Office Form (Form BR) for approval by the SEC. The proposed Form BR will enable Exchange members and member organizations to submit branch office application information electronically to the Exchange, NASD, and states through the CRD. (pdf)

Approved: 2/23/05

Approval to SR-NYSE-2005-12: Release No. 34-51240 - Immediate effectiveness of proposed rule changes by NASD to provide exemption from the research analyst qualification examination for certain associated persons who prepare technical research reports and the NYSE relating to an alternative qualification standard for the research analyst qualification examination requirement for technical analysts. (pdf)
SR-NYSE-2005-12: Filing proposes an interpretation to Rule 344 to establish an alternative qualification standard for the Research Analyst Qualification Examination Requirements for Technical Analysts. (pdf)

Approved: 4/05/05

Approval to SR-NYSE-2005-11: Release No. 34-51477 – Immediate effectiveness of proposed rule change relating to the Annual Membership fees payable by electronic access members of the Exchange. (pdf)
SR-NYSE-2005-11: This filing seeks to amend the NYSE's fee policy with respect to electronic access members of the Exchange. [Please note: this filing was originally submitted on January 20 and rejected by the SEC. It was resubmitted on March 10, 2005.] (pdf)

Approved: 1/27/05

Approval to SR-NYSE-2005-10: Release No. 34-51085 – Immediate effectiveness relating to voluntary supplemental procedures for selecting arbitrators. (pdf)
SR-NYSE-2005-10: Filing extends the pilot program for the Voluntary Supplemental Procedures for Selecting Arbitrators until July 31, 2005. (pdf)
SR-NYSE-2005-09: Filing proposes amendments of Rule 409 to allow "Delivery versus Payment" and "Receive versus Payment" (DVP/RVP) customers to opt out of statement receipt requirements, Rule 409(e) to require that customer statements bear a legend advising them of the need to report any statement discrepancies and new Rule 409A telling customers where to obtain SIPC information. (pdf)
Amendment No. 1 to SR-NYSE-2005-09: Amendment No. 1 withdraws proposed amendments to Rule 409 (a), for separate consideration under a subsequent filing. (pdf)

Approved: 1/28/05

Approval to SR-NYSE-2005-08: Release No. 34-51104 – Immediate effectiveness relating to its original financial listing standards pilot program. (pdf)
SR-NYSE-2005-08: The filing proposes to extend the NYSE's original financial listing standards pilot program until April 30, 2005. The pilot's current extension expires on January 31, 2005. (pdf)

Approved: 2/25/2005

Approval to SR-NYSE-2005-07: Release No. 34-51264-Order granting approval of rule change relating to Rule 440F and Rule 440G. (pdf)
SR-NYSE-2005-07: Filing proposes amendments to Rules 440F ("Public Short Sale Transactions Effected on the Exchange") and 440G (" Transactions in Stocks and Warrants for the Accounts of Members, Allied Members and Member Organizations"), and Forms SS20 and 121 to include certain short-exempt sales on Reports of Short Interest. (pdf)

Approved: 02/11/05

Approval to SR-NYSE-2005-06: Release No. 34-51190 – Immediate effectiveness of proposed rule change to increase annual fee to be paid by participants in the Medallion Guarantee program. (pdf)
SR-NYSE-2005-06: Filing seeks to increase the annual fee imposed upon participants in the NYSE's medallion signature guarantee program. (pdf)

Approved: 2/24/2005

Approval to SR-NYSE-2005-05: Release No. 34-51249 – Immediate effectiveness of proposed rule change relating to requirements for Listing Stock Index Warrants.  (pdf)
SR-NYSE-2005-05: Filing deletes requirements imposed on issuers of Stock Index Warrants from the Exchange's rules and inserts identical provisions in the Listed Company Manual. (pdf)

Approved: 09/07/05

Approval to SR-NYSE-2005-04; Release 34-52386 -- Order approving proposed rule change and Amendment No. 1 thereto relating to interpretation of NYSE Rule 311 (“Formation and Approval of Member Organizations”) codifying certain qualification requirements for criteria for dual- or multi- designation of Principal Executive Officers. (pdf)
SR-NYSE-2005-04: Filing proposes amendments to the Interpretation of Rule 311 ("Formation and Approval of Member Organizations") to codify: qualification requirements for COOs and CFOs; criteria for dual designations of introducing firm COOs and CFOs; COO exemptions for certain firms; dual, multi, and co-designation of principal executive officer functions. (pdf)
Amendment No.1 to File No. SR-NYSE-2005-04: Clarifies several aspects of the Interpretation of Rule 311, particularly in connection with Principal Executive Officer qualifications and criteria. (pdf)
SR-NYSE-2005-03: Filing proposes amendments to NYSE Rules 325, 326, and 431 to reflect the SEC's recent rule amendments that established an alternative method of computing net capital for certain broker-dealers. (pdf)
SR-NYSE-2005-02: Filing proposes amendments to Rule 607 concerning the procedures for the appointment of arbitrators to arbitration cases administered by the New York Stock Exchange. (pdf)
Amendment No.1 to File No. SR-NYSE-2005-02: Relating to Rule 607 describes in more detail the computer random selection process, and, clarifies the number of arbitrators and party strikes for simplified arbitrations. (pdf)
Withdrawal of Am. No. 1 to SR-NYSE-2005-02 refiled as Amendment No. 2. (pdf)
Amendment No.2 to File No. SR-NYSE-2005-02: Relating to Rule 607 describes in more detail the computer random selection process, and, clarifies the number of arbitrators and party strikes for simplified arbitrations. Filing reflects correct process for SEC review.  (pdf)
Amendment No.3 to File No. SR-NYSE-2005-02: Clarifies differences between the Uniform Code of Arbitration developed by the Securities Industry Conference on Arbitration and the NYSE regarding changes to Rule 607.  (pdf)
Amendment No.4 to File No. SR-NYSE-2005-02: Makes minor changes in response to Commission comment.  (pdf)

Approval to SR-NYSE-2005-02: Order approving proposed rule change to the proposed rule change relating to Rule 607 ("Appointment of Arbitrators").  (pdf)

Approved: 1/28/2005

Approval to SR-NYSE-2005-01: Release No. 34-51091 – Immediate effectiveness of proposed rule change relating to two crossing sections in the Exchange’s off-hours trading facility. (pdf)
SR-NYSE-2005-01: Filing seeks to make operative, until February 1, 2006, the pilot programs for Crossing Sessions III and IV in the Exchange’s Off-Hours Trading Facility. (pdf)



2004

Approved: 10/07/2005

Approval to SR-NYSE-2004-73; Release No. 34-52579: Order approving change to Rule 440A relating to telephone solicitation. (pdf)
SR-NYSE-2004-73: Filing seeks to amend Rule 440A to incorporate regulations issued by the FCC and the FTC relating to the implementation of the national do-not-call registry. (pdf)
Amendment No.1 to File No. SR-NYSE-2004-73: Makes certain non-substantive technical changes to the proposed amendment to Rule 440A (Telephone solicitation & FCC Regulations). (pdf)
Amendment No.2 to File No. SR-NYSE-2004-73: Makes technical and clarifying changes. (pdf)

Approved: 01/04/2005

Approval to SR-NYSE-2004-72: Release No. 34-50957 Immediate effectiveness of proposed rule change to extend the effective date of amendments, approved pursuant to SR-NYSE-2002-36, from December 17, 2004 to January 31, 2005 to conform with the effective date of corresponding rule amendments filed by the NASD. (pdf)
SR-NYSE-2004-72: Filing delays implementation of the previously published December 17, 2004 effective date for amendments to Rules 342, 401, 408, and 410 (see File No SR-NYSE-2002-36/"Internal Controls" amendments). The proposed new effective date is January 31, 2005, consistent with the effective date of NASD's corresponding amendments. (pdf)

Approved: 4/19/05

Approval to SR-NYSE-2004-71: Release No. 34-51573 –approval to proposed rule change to amend Rule 104 regarding the requirement that specialists obtain floor official approval for destabilizing dealer account transactions in ETFs. (pdf)
SR-NYSE-2004-71: Filing seeks to Amend Rule 104.10(7) -- Proposal to eliminate the current restriction on the ability of specialists to buy ETFs on plus ticks or sell ETFs on minus ticks without Floor Official approval. (pdf)
Amendment No. 1  to File No. NYSE-2004-71: Makes certain technical changes and supercedes the original filing to amendment of Rule 104 with respect to stabilization transactions in Exchange Traded Funds (ETFs). (pdf)
SR-NYSE-2004-70: Filing amends Rule 104.10 – Specialists yielding to later arriving system orders. (pdf)
Amendment No. 1  to File No. NYSE-2004-70: Makes changes to request for effectiveness on Rule 104.10 which relates to specialists yielding to later arriving system orders.  (pdf)
Amendment No. 2  to File No. NYSE-2004-70: Makes technical changes and supersedes the previous filing in its entirety.  (pdf)
SR-NYSE-2004-70: The Exchange hereby consents to an extension of time for Commission action until April 4, 2005.  (pdf)
SR-NYSE-2004-70 Extension Letter: The Exchange hereby consents to an extension of time for Commission action until May 4, 2005.  (pdf)
SR-NYSE-2004-70 Extension Letter: The Exchange consents to an extension of time for SEC to take action on the filing regarding specialists yielding to later arriving system orders until June 6, 2005.  (pdf)
SR-NYSE-2004-70 Extension Letter: The Exchange hereby consents to an extension of time for Commission action until July 8, 2005.  (pdf)
SR-NYSE-2004-70 Extension Letter: The Exchange hereby consents to an extension of time for Commission action until August 10, 2005.  (pdf)
SR-NYSE-2004-70 Extension Letter: The Exchange hereby consents to an extension of time for Commission action until September 10, 2005 (Rule 104.10 – Specialists yielding to later arriving system orders).  (pdf)
SR-NYSE-2004-70 Extension Letter: The Exchange hereby consents to an extension of time for Commission action until October 15, 2005 (Rule 104.10 – Specialists yielding to later arriving system orders).  (pdf)
SR-NYSE-2004-70 Extension Letter: The Exchange consents to extension of time for Commission action to December 23, 2005 (Specialists yielding to later-arriving orders). (pdf)
SR-NYSE-2004-70 Extension Letter: Exchange consents to an extension of time for Commission action until January 23, 2006. (pdf)
Amendment No. 3 to File No. NYSE-2004-70: Amendment No. 3 makes minor technical changes (Rule 104.10 - specialists yielding to later arriving orders).   (pdf)
SR-NYSE-2004-69: This filing proposes Exchange Rules 1400 and 1401 relating to trading unlisted debt securities on the NYSE's automated Bond System.  (pdf)
Amendment No. 1 to File No. SR-NYSE-2004-69: Reflects a number of comments from the Divisions of Market Regulation and Corporation Finance on registered debt securities on the ABS. (pdf)
SR-NYSE-2004-69 Extension Letter: The Exchange hereby consents to an extension of time for Commission action until September 30, 2005. (pdf)
SR-NYSE-2004-69 Extension Letter: The Exchange hereby consents to an extension of time for Commission action until October 31, 2005. (pdf)
Approved:  12/23/2004
Approval to SR-NYSE-2004-68: Release No. 34-50929 Immediate effectiveness of proposed rule change and amendment No. 1 to Rules 440B (“Short Sales) and 440C (“Deliveries Against Short Sales”) (pdf)
SR-NYSE-2004-68: Proposed amendments to NYSE Rules 440B and 440C to conform to recent SEC rule changes regarding short sales, including the adoption of Regulation SHO. The NYSE expects to make the proposed rule change operative on January 3, 2005. (pdf)

Approved: 12/1/04

Approval to SR-NYSE-2004-67: Release No. 34-50777 Immediate effectiveness to extend its pilot program permitting a floor broker to use an Exchange authorized and provided portable phone on the Exchange floor. (pdf)
SR-NYSE-2004-67: Filing seeks to amend Rule 36 to extend the portable phone Pilot, until March 31, 2005. The current pilot expires on November 30, 2004. (pdf)

Approved: 12/09/04

Approval to SR-NYSE-2004-66: Release No. 34-50828 – Immediate effectiveness of proposed rule change to extend the pilot for its automatic execution facility for certain limit orders (NYSE Direct+®) (pdf)
SR-NYSE-2004-66: Filing seeks to extend (until 12/23/05) the effectiveness of the pilot for NYSE Direct+®; current Pilot is due to expire 12/23/04. (pdf)
SR-NYSE-2004-65: Filing seeks to extend for an additional year the pilot program for Crossing Sessions III and IV in the Exchange’s Off-Hours Trading Facility (pdf)
Approved: 11/16/05
Approval to SR-NYSE-2004-64: Release 34-52780; Order approving proposed rule change relating to exchange Rule 342 ("Offices – Approval, Supervision and Control"). (pdf)
SR-NYSE-2004-64: Filing seeks approval of proposed amendment to Rule 342 (“Offices – Approval, Supervision and Control) (pdf)
Amendment No. 1  to File No. NYSE-2004-64: Adds to the Interpretive Handbook Interpretations 342.30(d)/01 and 342.30(e)/01 for purposes of clarifying issues related to the designation of a Chief Compliance Officer and the Annual Certification, respectively (pdf)
Amendment No. 2  to File No. NYSE-2004-64: Clarifies the obligations of member organizations in the preparation of annual certifications (Rule 342.30(e)/01) (pdf)
Amendment No. 3  to File No. NYSE-2004-64: Amendment No. 3 makes minor technical changes. (pdf)

Approved: 02/10/05

Approval to SR-NYSE-2004-63: Release No. 34-51188 – order approving proposed rule change and amendments 1 and 2 to amend rules relating to return of membership certificates, notice and return of exchange-issued identification cards, and minor violations of rules. (pdf)
SR-NYSE-2004-63: Filing seeks approval to make amendments to the Exchange’s rules: Rule 343 (Offices – Sole Tenancy, Hours, Display of Membership Certificates), Rule 35 (Floor Employees to be Registered), Rule 412 (Customer Account Transfer Contracts), and corresponding amendments to Rule 476A regarding minor violations. (pdf)
Amendment No. 1  to File No. NYSE-2004-63: Corrects inaccuracies in Exhibit D of the original rule filing relating to the list of violations that may result in minor fines pursuant to NYSE Rule 476A.  (pdf)
Amendment No. 2  to File No. NYSE-2004-63: Seeks to make further technical corrections to filing amending rules relating to minor violations that, pursuant to NYSE Rule 476, may be fined.  (pdf)

Approved: 7/05/05

Approval to SR-NYSE-2004-62: Release No. 34-51973 -- Order Approving Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 Thereto to Eliminate Rule 496 and to Amend the Listed Company Manual Relating to Transfer Agents (pdf)
SR-NYSE-2004-62: Filing seeks to eliminate Rule 496 regarding transfer agent provisions. (pdf)
Amendment No. 1 to File No. NYSE-2004-62: Seeks to eliminate the requirement of Exchange Rule 496 that transfer agents must maintain an office or an agent in Manhattan below Chambers Street. (pdf)
Amendment No. 2 to File No. NYSE-2004-62: Makes technical changes in response to SEC comments with respect to NYSE transfer agent rules, and modifications of record date protection provision in light of discussions with transfer agents and DTC. (pdf)
Amendment No. 3 to File No. NYSE-2004-62: Minor technical changes relating to transfer agent provisions (Rule 496). (pdf)
SR-NYSE-2004-61: The filing seeks to rescind the Institutional XPress® Order type. (pdf)
Amendment No. 1 to File No. SR-NYSE-61: Relating to withdrawal of Institutional Xpress® Orders changes the basis for commission consideration of the filing Section 19(b)(2) to Section 19(b)(3) of the Securities Exchange Act of 1934. (pdf)
Amendment No. 2 to File No. SR-NYSE-61: Makes technical changes to rule text on the Institutional XPress Order filing. (pdf)
SR-NYSE-2004-61 Extension Letter, January 28, 2005: Filing seeks to extend time period until March 2, 2005 for the commission to act on Institutional XPress Order. (pdf)
SR-NYSE-2004-60: Filing includes proposed amendments to Rule 350 (Compensation or Gratuities to Employees of Others”) to reconcile the Rule’s standards relating to gifts and gratuities to Exchange employees with exchange internal policy. (pdf)

Approved: 4/13/2005

Approval to SR-NYSE-2004-59: Release No. 34-51539 – order approving proposed rule change to adopt a new rule (Rule 401A) requiring members and member organizations to respond to customer complaints, and adding failure to acknowledge customer complaints to the minor fine provisions of Rule 476A. (pdf)
SR-NYSE-2004-59: Filing seeks approval of proposed new Rule 401A (“Customer Complaints”) and corresponding amendment to Rule 476A (“Imposition of Fines for Minor Violations of Rules”). (pdf)
Approved:  10/29/2004
SR-NYSE-2004-58: Filing seeks to extend the pilot program on original listing standards until January 31, 2005. (pdf)
Approval to SR-NYSE-2004-58: 34-50615 - Immediate effectiveness of proposed rule change relating to its original financial listing standards pilot program. (pdf)
Approved:  05/24/2005
SR-NYSE-2004-57: Filing proposes amendments to Rule 629 concerning arbitration filing fees and hearing deposits, and the imposition of member organization surcharges pertaining to arbitration claims. (pdf)
Amendment No. 1 to File No. SR-NYSE-2004-57: Language has been added to make explicit that the changes do not result in increased costs to investors regarding arbitration filing fees and hearing deposits. (pdf)
Amendment No. 2 to File No. SR-NYSE-2004-57: Partial amendment no. 2 is being proposed to make minor technical corrections to proposed amendment 1 to Rule 629. (pdf)
Approval to 2004-57: Release No. 34-51729 -- Immediate effectiveness of proposed rule change relating to member organization increases in arbitration filing fees and member organization surcharges in arbitration claims filed by customers (Rule 629). (pdf)
SR-NYSE-2004-56: Filing proposes amendments to Rule 611 concerning the disqualification of arbitrators. (pdf)
SR-NYSE-2004-55: Filing seeks approval to list and trade iShares® FTSE/Xinhua China 25 Index Fund. (pdf)

Approved: 02/16/05

Approval to SR-NYSE-2004-54: Release No. 34-51217 – order approving proposed rule change relating to amendments to the NYSE Constitution and the adoption of an Independence Policy of the NYSE Board of Directors. (pdf)
SR-NYSE-2004-54: Filing seeks to amend the NYSE Constitution to further implement the new governance architecture adopted by the NYSE in December 2003, as well as the Independence Policy of the Board of Directors. (pdf)
Approved:  12/13/2004
Approval to SR-NYSE-2004-53: Release No. 34-50844 – Order granting approval relating to a Fee for the NYSE AlertsSM Datafeed.  (pdf)
SR-NYSE-2004-53: Filing seeks to establish a fee for receipt of access to NYSE AlertsSM datafeed. (pdf)
Amendment No. 1 to File No. SR-NYSE-2004-53: Amendment No. 1 clarifies the continued availability of NYSE AlertsSM data from other sources. (pdf)
Amendment No. 2 to File No. SR-NYSE-2004-53: Letter Amendment No. 2 amends NYSE AlertsSM to add fee to price schedule. (pdf)
SR-NYSE-2004-52: Filing seeks to make portable phone pilot (Rule 36) permanent. The pilot allows a floor broker to use an Exchange authorized and provided portable phone on the Floor, and is in effect till November 30, 2004. (pdf)
Approved: 11/29/05
Approval to SR-NYSE-2004-51; Release 34-52850 -- Order approving proposed Rule change relating to a proposed Interpretation to Rule 342 (Offices – Approval, Supervision, and Control) (pdf)
SR-NYSE-2004-51: Filing seeks to make an interpretation to Rule 342 (“Offices – Approval, Supervision and Control”) to permit the waiver of the qualified resident branch office manager requirement for certain “limited purpose offices.” (pdf)
Amendment No. 1 to File No. NYSE-2004-51: Amendment No. 1 makes amendments to the Interpretation of Exchange Rule 342, which allows designation of certain branch offices as “Limited Purpose Offices.” (pdf)
SR-NYSE-2004-50: Filing seeks to extend, to March 31, 2005, the pilot program relating to arbitrations in California. (pdf)
Approved: 06/02/05
Approval to SR-NYSE-2004-49: Release No. 34-51777 – Order approving proposed rule change relating to procedures for companies that fail to file annual reports in a timely manner. (pdf)
SR-NYSE-2004-49: Filing reflects amendment to Listed Company Manual Section 802.01 to include procedures applicable to companies that fail to file annual reports in a timely manner. (pdf)
Amendment No. 1 to File No. SR-NYSE-2004-49: Amendment No. 1 clarifies proposed procedures relating to companies that are late in filing their 10-K, 20-F, 40-F or N-CSR. (pdf)
Amendment No. 2 relating to late filer filing, incorporates language from Amendment No. 1 that the rule will have a retroactive effect when approved. (pdf)
Withdrawal of Am. No. 2 to SR-NYSE-2004-49 relating to late filer filing to indicate that the rule will have a retroactive effect when approved. (pdf)

Amendment No. 3 to File No. SR-NYSE-2004-49: NYSE withdrew 2004-49 Am. No. 2 and filed Am. No. 3. Filing seeks to include procedures applicable to companies that fail to file their annual report in a timely manner.   (pdf)

Approved: 11/24/04

Approval to SR-NYSE-2004-48: Release No. 34-50734 Order granting approval to proposed rule change to create new NYSE Rule 416A and to amend Rule 476A, adding new Rule 416A to the “List of Exchange Rule Violations and Fines Applicable to Rule 476A” (pdf)
SR-NYSE-2004-48 was replaced in its entirety by Amendment No. 1
Amendment No. 1 to File No. SR-NYSE-2004-48: Amendment No. 1 relates to Rule 416A and corresponding amendment to Rule 476A, clarifies the purpose section, and in the rule text defines the parameters of the word promptly. (pdf)
Approved: 09/07/05
Approval to SR-NYSE-2004-47: Release 34-52391 -- Order approving proposed rule change and Amendment No. 1 thereto to amend Rule 352 concerning guarantees and sharing in accounts. (pdf)
SR-NYSE-2004-47: Filing seeks approval of proposed amendments to Rule 352 (Guarantees and Sharing in Accounts) which would expand the rule to include specific limitations on loan arrangements between personnel associated with member organizations and public customers. (pdf)
Amendment No. 1  to File No. NYSE-2004-47: Makes minor nonsubstantive changes and adds a de minimus exception to the lending and borrowing pre-approval requirements for amounts one hundred dollars or less.  (pdf)
SR-NYSE-2004-46: Filing proposes an amendment to Rule 104 (Dealings by Specialists) which effects a change in an existing order-entry or trading system of a self-regulatory organization. (pdf)
SR-NYSE-2004-45: Filing seeks approval of an interpretation to Rule 440H regarding the calculation of transaction fees under that rule. (pdf)
SR-NYSE-2004-44: Withdrawn and refiled as SR-NYSE-2004-53
SR-NYSE-2004-43: Filing seeks to establish a fee for an enhanced NYSE OpenBook® product that the Exchange plans to make available. (pdf)
SR-NYSE-2004-43 Extension Letter: Consent letter to an additional extension of the action deadline for an additional 30 days for one-second OpenBookSM fees. (pdf)
SR-NYSE-2004-43 Extension Letter Nov 22, 2004: Consent letter to an additional extension of the action deadline for an additional 30 days for one-second OpenBookSM fees. (pdf)
SR-NYSE-2004-43 Extension to February 15, 2005: Additional extension of the action deadline for the filing seeking approval for one-second OpenBookSM fees. (pdf)
SR-NYSE-2004-43 Extension to April 30, 2005: Additional extension of the action deadline of the filing seeking approval of one-second OpenBookSM fees. (pdf)
SR-NYSE-2004-43 Extension to June 30, 2005: Additional extension of the action deadline of the filing seeking approval of one-second OpenBookSM fees. (pdf)
SR-NYSE-2004-43 Extension to September 30, 2005: Additional extension of the action deadline of the filing seeking approval of one-second OpenBookSM fees. (pdf)
SR-NYSE-2004-43 Extension to October 31, 2005: The Exchange hereby consents to an extension of time for Commission action until October 31, 2005. (pdf)
SR-NYSE-2004-43 Extension to November 30, 2005: The Exchange consents to an extension of time for Commission action until November 30, 2005. (pdf)
Approved: 06/06/05
Approval to SR-NYSE-2004-42: Release No. 34-51790 Order approving proposed rule change and amendment no. 1 to eliminate the requirement that a floor official approve certain transactions on the exchange’s automated bond system (pdf)
SR-NYSE-2004-42: Filing seeks to delete section (g) of Rule 86 (Automated Bond System® ("ABS")) to eliminate the requirement for Floor Official approval for two-point/30-day situations. (pdf)
Amendment No. 1 to File No. SR-NYSE-2004-42: Non substantive change which provides a fuller explanation how ABS works both in general and specifically in relation to our proposal which has not changed. (pdf)
SR-NYSE-2004-42 Extension Letter: The Exchange hereby consents to an extension of time for Commission action until June 15, 2005.  (pdf)
Approved: 11/3/04
SR-NYSE-2004-41 was replaced in its entirety by Amendment No. 1
Amendment No. 1 to SR-NYSE-2004-41: Amendment No. 1 replaces original filing in its entirety. Reflects comments relating to Section 303A of the Listed Company Manual – Corporate Governance Requirement. (pdf)
Amendment No. 2 to SR-NYSE-2004-41: Amendment No. 2 relating to Section 303A of the Listed Company Manual – Corporate Governance Requirements withdraws the NYSE’s proposed definition of immediate family member. (pdf)
Extension Letter to SR-NYSE-2004-41: Exchange hereby consents to an extension of time until November 3, 2004 re: Section 303A of the NYSE Listed Company Manual. (pdf)
Amendment No. 3 to SR-NYSE-2004-41: Relating to Section 303A of the Listed Company Manual – provides the transition period relating to the revised audit firm director independence test. (pdf)
Approval to SR-NYSE-2004-41: 34-50625 – order granting approval of proposed rule change, and accelerated approval to Amendments 2 and 3 to amend Section 303A of the NYSE Listed Company Manual relating to corporate governance. (pdf)
SR-NYSE-2004-40: Filing seeks to extend the pilot program that establishes revised financial standards applicable to listings. (Sections 102.01C and 103.01B of NYSE Listed Company Manual), until the earlier of October 31, 2004 or such date as the Commission may approve SR-NYSE-2004-20, which seeks permanent approval of the pilot. (pdf)
Approved: 12/14/05
Approval to SR-NYSE-2004-39: Release No. 34-52951 -- Order approving a proposed rule change to amend Rule 431 (Margin Requirements). (pdf)
SR-NYSE-2004-39: Filing seeks approval for amendments to Rule 431 Margin Requirements relating to option spread strategies and elimination of the two-dollar standard exercise price interval limitation for listed options. (pdf)
Amendment No. 1 to SR-NYSE-2004-39: Amendment No. 1 replaces the original filing in its entirety and recognizes certain complex option strategies. (pdf)
SR-NYSE-2004-38: Filing seeks to amend Exchange Rule 132B to eliminate requirement to capture order information for listed bonds via the Order Tracking System when such information is captured in Automated Bond System.® (pdf)
Amendment No. 1 to SR-NYSE-2004-38: Filing clarifies that only listed bonds are being exempted from the rule. (pdf)
SR-NYSE-2004-37: Filing consists of an Information Memo which describes the Exchange's procedures for gapping the quote (Rules 60, 79A.15, and 104) (pdf)
Approved:  08/02/2004
SR-NYSE-2004-36: Filing seeks approval to amend the NYSE Constitution to enable certain individuals to continue service on the Regulation, Enforcement & Listing Standards Committee of the Board. (pdf)
Amendment No. 1 to File No. SR-NYSE-2004-36 Proposal to Amend NYSE Constitution to Permit Certain Individuals to Continue to Serve on the Regulation, Enforcement & Listing Standards Committee. (pdf)

Approved:  07/28/2004

SR-NYSE-2004-35: Filing seeks approval to impose a Specialist License fee on specialists trading Investment Company units pursuant to unlisted trading privileges for which the Exchange pays a license fee to a third party. (pdf)
Approved:  07/29/2004
SR-NYSE-2004-34: Filing seeks to amend Rule 103B (“Specialist Stock Allocation Policy”) to change the number of members of the Allocation Panel to conform to the Allocation Committee charter. (pdf)
SR-NYSE-2004-33: Filing proposes amendments to Rule 345A ("Continuing Education for Registered Persons") to rescind current exemptions from required participation in the Regulatory Element programs. (pdf)
Amendment No. 1 to SR-NYSE-2004-33: Makes technical corrections to the original filing (Rule 345A) which seeks to rescind all currently effective exemptions for registered persons from required participation in the Continuing Education Regulatory Element program. (pdf)
Approved:  03/28/2005
SR-NYSE-2004-32: Release No. 34-51438 – order approving rule change and Amendment No. 1 relating to NYSE Liquidity QuoteSM (pdf)
SR-NYSE-2004-32: Filing seeks to include an additional display requirement to the existing terms and conditions applicable to vendors' distribution of NYSE LiquidityQuoteSM information to their customers. (pdf)
Extension to SR-NYSE-2004-32: The Exchange agreed to an extension of 60 days for the Action Deadline with respect to the filing regarding a vendor’s ability to distribute Liquidity QuoteSMdata. (pdf)
SR-NYSE-2004-32 Extension Letter: Notification to Commission that the NYSE consents to an additional extension of the action deadline for approval period for the Liquidity QuoteSM Exhibit C (pdf)
SR-NYSE-2004-32 Extension Letter Nov 22, 2004: Consent to extension of Approval Period for Liquidity QuoteSM Exhibit C. Notification to Commission that the NYSE consents to an additional extension of the Action Deadline for approval period for the Liquidity QuoteSM Exhibit C. (pdf)

SR-NYSE-2004-32 Extension to February 1, 2005. Additional extension of the action deadline for approval period for the Liquidity Quote SM Exhibit. (pdf)

SR-NYSE-2004-32 Extension Letter: Consent to extension of approval period for Liquidity QuoteSM Exhibit C. Notification to Commission that the NYSE consents to an additional extension of the Action Deadline for approval period for the Liquidity QuoteSM Exhibit C. (pdf)
Approved:  02/28/2005
SR-NYSE-2004-31: Release No. 34-51273 Order approving proposed rule change and Amendment No. 1, and order granting accelerated approval to Amendment No. 2 relating to appointments to the NYSE’s Board of Arbitration and other changes to the NYSE’s Arbitration program. (pdf)
SR-NYSE-2004-31: Filing proposes amendments to Rules 633, 634 and 635 concerning appointments of members to the Board of Arbitration, appointments to the panels of securities and non-securities arbitrators, and the appointment of the director of arbitration at the New York Stock Exchange. (pdf)
Amendment No. 1 to SR-NYSE-2004-31: Amendment No. 1 to Rule 635 states that is the Chief Regulatory Officer who designates the Director of Arbitration; the Chief Executive Officer is deleted as a designator. (pdf)
Amendment No. 2 to SR-NYSE-2004-31: Makes non-substantive "housekeeping" changes to Rule 633, relating to the appointment of members to the Board of Arbitration. (pdf)
SR-NYSE-2004-30: Filing seeks to extend the portable phone pilot until November 30, 2004. Rule 36 pilot allows a Floor broker to use an exchange authorized and provided portable telephone on the NYSE Floor. (pdf)
SR-NYSE-2004-29: Withdrawal of filing (Rule 607) (pdf)
Approved:  06/25/2004
SR-NYSE-2004-28: Filing proposes an extension, until January 31, 2005, of the pilot program for Voluntary Supplemental Procedures for Selecting Arbitrators. (pdf)

Approved:  08/03/2004

SR-NYSE-2004-27: Filing seeks approval to trade certain MSCI iShares® Index Funds pursuant to unlisted trading privileges. (pdf)
Amendment No. 1 to SR-NYSE-2004-27: amendment provides clarification. Corrects the name of one of the iShares Index Funds. (pdf)
Amendment No. 2 to SR-NYSE-2004-27: relates to iShares Index Funds. (pdf)
Approved:  05/26/2004
SR-NYSE-2004-26: Filing sets 4:15 pm (EST) as the closing time for certain exchange-traded funds (ETFs) listed on the Exchange (Fresco Dow Jones STOXX 50SM Fund, Fresco Dow Jones EURO STOXX 50SM Fund and iSharesâ S&P Global 100 Fund). (pdf)

Approved:  06/03/2004

SR-NYSE-2004-25: Filing proposes rule change seeking to provide NYSE’s Listed companies with certain NYSE market information at no charge. (NYSE netSM) (pdf)
Amendment No. 1 to SR-NYSE-2004-25: omits one sentence which was redundant. Fundamentally no change. (pdf)
Approved:  04/21/2005
SR-NYSE-2004-24: Release No. 34-51593 – order approving rule change to prohibit participation by a research analyst in a road show related to an investment banking service transaction and to require certain communications to be fair, balanced and not misleading. (pdf)
SR-NYSE-2004-24: Filing seeks to make amendments to Rule 472 to prohibit research analysts from participating in certain sales and marketing activities in connection with a public offering or other investment banking services transaction. (pdf)
Amendment No. 1 to SR-NYSE-2004-24: Proposes amendments to Rule 472 which prohibits research analysts from participating in “road shows” relating to investment banking services transactions. (pdf)
Withdrawal of SR-NYSE-2004-23: The Exchange hereby withdraws File No. SR-NYSE-2004-23. (pdf)
SR-NYSE-2004-23 Filing regarding: Listed Company Fee Exclusion for NYSEnetSM Data. The rule change seeks to provide NYSE’s listed companies with certain NYSE market information. Rule seeks to improve an information service that it provides to its listed companies (the NYSEnetSM service) by adding certain Broker Volume SM, Lquidity Quote SM and OpenBook SM information to the service. (pdf)

Approved:  10/28/2004

Approval to SR-NYSE-2004-22: Release No. 34-50603 Order granting approval of proposed rule change, and acccelerated approval to Amendments No. 1 and No. 2 regarding listing and trading of streetTRACKS® Gold Shares. (pdf)
SR-NYSE-2004-22: Filing seeks to list and trade Equity Gold Shares of the Equity Gold TrustSM (pdf)
Amendment No. 1 to SR-NYSE-2004-22: Reflects certain amendments to the registration statement relating to the streetTRACKS® Gold Shares, with respect to the addition of a marketing agent and changes to fees and expenses related thereto. Amendment No. 1 together with Exhibits 1 and A, substitute in their entirety the original filing. (pdf)
Amendment No. 2 to SR-NYSE-2004-22: Reflects certain changes requested by the SEC relating to the listing and trading of streetTRACKS® Gold Shares (formerly known as Equity Gold Shares). (pdf)
Approved:  05/04/2004
SR-NYSE-2004-21: Filing seeks to extend the pilot relating to the allocation policy for trading certain Exchange-Traded Funds (NYSE Rule 103B, Section VIII) for an additional year. (pdf)
Amendment No. 1 to SR-NYSE-2004-21: (pdf)

Approved:  06/09/2005

Approval to SR-NYSE-2004-20: Release No. 34-51813 -- Order Approving Proposed Rule Change and Amendment Nos. 1, 2, 4, 5, 6, and 7 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 8 Thereto to Amend Its Original and Continued Quantitative Listing Standards. (pdf)
SR-NYSE-2004-20: Filing seeks to obtain permanent approval for the NYSE's current pilot program relating to sections 102.01C, 103.01B and 802.01 of the Listed Company Manual and to amend the Exchange's minimum numerical continued listing standards for domestic and international companies. (pdf)
Amendment No. 1 to SR-NYSE-2004-20: seeks to obtain permanent approval for the NYSE’s current pilot program relating to Sections 102.01C, 103.01B and 802.01C of the Listed Company Manual to amend the Exchange’s minimum numerical continued listing standards for domestic and international companies. (pdf)
Amendment No. 2  to SR-NYSE-2004-20: Amendment No. 2 clarifies minimum numerical continued listing standards in the Listed Company Manual. (pdf)
Amendment No. 3 to SR-NYSE-2004-20: Relating to financial listing standards reflects SEC comments on Amendment No. 2. This filing eliminates our proposed additional twelve month discretionary plan period. (pdf) (7.73 MB)
Withdrawal of amendment No. 3 to SR-NYSE-2004-20: Regarding financial listing standards. (refiled as Amendment No. 4)  (pdf)
Amendment No. 4 to SR-NYSE-2004-20: Makes a few formatting corrections and minor language changes to the purpose section of the financial listing standards. (pdf)
Amendment No. 5 to SR-NYSE-2004-20: Reflects non-substantive comments from the SEC on proposed changes to the continued listing standards. (pdf)
Amendment No. 6 to SR-NYSE-2004-20: Reflects non-substantive language changes from the SEC on proposed changes to the continued listing standards filing. (pdf)
Amendment No. 7 to SR-NYSE-2004-20: Reflects non-substantive changes from the SEC on proposed changes to the continued listing standards filing.(pdf)
Amendment No. 8 to SR-NYSE-2004-20: Reflects changes relating to comments by the public on the proposed rule filing.(pdf)

Approved:  05/04/2004

SR-NYSE-2004-19: Release No. 34-49653 - order granting immediate effectiveness of amendment to
Rule 344 to establish fee for Research Analyst Qualification Examination (Series 86/87).
(pdf)
SR-NYSE-2004-19 Clarification Letter: Clarifies the definition of “examination Development fee” in the filing relating to Research Analyst Qualification Fee. (pdf)
Approved:  04/02/2004
SR-NYSE-2004-18: Filing seeks to extend pilot program Relating to arbitrations in California. (pdf)

Approved:  04/01/2004

SR-NYSE-2004-17: Filing proposes to amend the NYSE Listed Company Manual to clarify that income deposit securities traded as a unit will as a general matter be listed if each of the component parts of the unit meets the applicable requirements for listing. (pdf)
Amendment No. 1 to SR-NYSE-2004-17: Revises Form 19b-4 and Exhibit 1 to amend in their entirety Section 7 of the Form 19b-4 and Section III of Exhibit 1. (pdf)
Approved:  05/27/2004
SR-NYSE-2004-16: Filing seeks approval for the use of amended Forms U4 and U5 for the registration of securities personnel. (pdf)
Approved:  03/18/2004
SR-NYSE-2004-15: Filing seeks to suspend the Exchange's pilot program relating to minimum continued numerical standards for qualification of domestic and international companies. (NYSE Listed Company Manual Section 802.01B). (pdf)

Approved:  06/07/2004

SR-NYSE-2004-14: Filing seeks to amend NYSE Listed Company Manual Section 102.04 relating to the listing of business development companies (certain closed-end management investment companies). (pdf)
Amendment No. 1 to SR-NYSE-2004-14: Amendment No. 1 seeks to amend Section 102.04 specifying that it may also be used to list business development companies that meet the $60 million threshold, provided that they have a total market capitalization of at least $75 million. (pdf)
Approved:  06/22/2005
Approval to SR-NYSE-2004-13: Release No. 34-51904 -- Order Approving Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendments No. 2 and No. 3 Thereto to Adopt Rule 405A (“Non-Managed Fee-Based Account Programs – Disclosure and Monitoring”) (pdf)
SR-NYSE-2004-13: Filing seeks approval of proposed new Exchange Rule 405A (Non-Managed Fee-Based Accounts - Disclosure and Monitoring). (pdf)
Amendment No. 1 to SR-NYSE-2004-13: Amendment No. 1 clarifies rule text with respect to Rule 405A which requires monitoring and supervision of non-managed fee-based account programs. (pdf)
Amendment No. 2 to SR-NYSE-2004-13: Amendment No. 2 includes a summary of public comments received and the Exchange's responses. The amendments clarify the rule's disclosure requirements, as well as the ongoing monitoring and follow-up obligations of members and member organizations, with respect to customers who utilize Non-Managed Fee-Based Account Programs. (pdf)
Amendment No. 3 is a non-substantive amendment to correct a minor technical issue. (pdf)
SR-NYSE-2004-12: Filing seeks approval of proposed Exchange Rule 470, governing the allocation and distribution of initial public offerings (IPO). (pdf)
Amendment No. 1 to SR-NYSE-2004-12: Amendment No. 1 clarifies and strengthens original amendments governing the allocation and distribution of initial public offerings by members and member organizations. (pdf)
SR-NYSE-2004-12 Extension Letter: Extension of time period for Commission action to April 15, 2005 for IPO amendments. (pdf)
SR-NYSE-2004-12 Extension Letter: The Exchange hereby consents to an extension of time for Commission action until August 31, 2005 for IPO amendments. (pdf)
SR-NYSE-2004-12 Extension Letter: The Exchange hereby consents to an extension of time for Commission action until December 31, 2005. (pdf)
SR-NYSE-2004-12 Extension Letter: The Exchange consents to an extension of time for Commission action until March 31, 2006. (pdf)
This Amendment No. 1 replaces SR-NYSE-2004-11 in its entirety. 
Amendment No. 1 to SR-NYSE-2004-11: clarifies original filing that would allow a floor broker, under certain circumstances, to send a portion of an order to a specialist while retaining a portion of the order (Rule 122). (pdf)
Amendment No. 2 to SR-NYSE-2004-11: adds language to the rule change to make it clear that a floor broker may transmit an order to a specialist either manually or by use of an electronic hand held device. – Relating to amendment of Exchange Rule 122 (pdf)
Amendment No. 3 to SR-NYSE-2004-11: Amendment No. 3 relates to Rule 122. Filing corrects grammatical error in rule text. (pdf)
Approved:  03/08/2004
SR-NYSE-2004-10: Filing proposes an amendment to Exchange Rule 62 with respect to minimum price variations for stocks trading at a price of $100,000 or greater. (pdf)

Approved:  05/11/2004

SR-NYSE-2004-09: Filing seeks to amend Rule 123C to change the procedures for entry and publication of imbalances in market-on-close and limit-on-close orders. (pdf)
Amendment No. 1 to SR-NYSE-2004-09: Amendment No. 1 corrects a Typographical error in the Rule 123C (Market-on-Close Policy and Expiration Procedures). (pdf)
SR-NYSE-2004-08: Filing seeks to modify the Exchange's policy regarding the use of wireless communications devices on the Floor to permit non-specialist members and employees of non-specialist members to use certain personal or firm-issued, licensed, wireless communications devices on the Floor, subject to certain conditions and exceptions. (Wireless Communications – Rule 36) (pdf)
SR-NYSE-2004-08 Withdrawal Letter: The Exchange hereby withdraws filing which relates to proposed amendments to the Exchange’s Wireless Communication Poilcy (pdf)
Approved:  07/08/2004
SR-NYSE-2004-07: Filing reflects amendments to NYSE Listed Company Manual’s requirement regarding make certain paper filings (8K filings). (pdf)
Amendment No. 1 to SR-NYSE-2004-07: requires that non-US listed companies provide paper copies of Form 6-K not filed via EDGAR. (pdf)

Approved:  09/09/2004

SR-NYSE-2004-06: Filing seeks to amend Rules 104 (Dealings by Specialists) and 123 (Record of Orders) with respect to certain parity situations. (pdf)
Amendment No. 1 to 2004-06: Seeks to amend filing regarding the ability of specialists to trade along with customer orders (Rules 104 and 123). (pdf)
Amendment No. 2 to 2004-06: Replaces prior filing that proposes amendments to Rules 104 (Dealings by Specialists) and 123 (Record of Orders) with respect to certain parity situations. (pdf)

This Amendment No. 1 replaces the original filing SR-NYSE-2004-05 in its entirety.

Amendment No. 1 to 2004-05: Clarifies and expands the proposal to expand the NYSE Direct+®system. (pdf)
Extension to 2004-05: The Exchange agreed to an extension, to September 22, 2004, for the Commission to receive comments on this filing regarding enhancements to the automatic execution facility (Direct+®). (pdf)
Amendment No. 2  to 2004-05: Supplements the description of certain aspects of the Exchange hybrid market and proposes additional amendments to Exchange rules. (pdf)
Amendment No. 3  to 2004-05: This amendment makes no changes to Am. No. 2 of 2004-05. It provides a reformatted version of the rule text as Exhibit 5 for ease of publication in the Federal Register. (pdf)
Extension Letter to SR-NYSE-2004-05: NYSE consents to an extension of time until March 1, 2005 for the Commission to take action on the Hybrid Market filing. (pdf)
Amendment No. 4 to 2004-05: Amendment No. 4 supplements the description of certain aspects of the Exchange hybrid market, proposes additional amendments to Exchange rules, and describes the proposed Hybrid Market implementation plan.  (pdf)
Withdrawal of Am. No. 4 to SR-NYSE-2004-05 refiled as Amendment No. 5.  (pdf)
Amendment No. 5 to SR-NYSE-2004-05: Replaces Amendment No. 4 and proposes changes to the Rules governing the NYSE Hybrid Market.  (pdf)
Extension Letter to SR-NYSE-2004-05: The Exchange hereby consents to an extension of time for Commission action until September 19, 2005. (pdf)
Extension Letter to SR-NYSE-2004-05: The Exchange hereby consents to an extension of time for Commission action until October 19, 2005. (pdf)
Amendment No. 6 to 2004-05: Modifies proposed rules governing specialists’ ability to systemically provide price improvement to incoming orders and the standing of certain orders during a “sweep” following an automatic execution. (pdf)
SR-NYSE-2004-05 Amendment No. 7: Amendment 7 proposes non-substantive conforming, stylistic, or typographical changes to certain Exchange rules governing the Hybrid Market (pages 1-5). (pdf)
SR-NYSE-2004-05 Amendment 7 - Exhibit 4 (pdf)
SR-NYSE-2004-05 Amendment 7 - Exhibit 5 (pdf)

Approved:  12/07/2004

SR-NYSE-2004-04: Filing seeks to make more efficient the procedures used to address non-regulatory issues between listed companies and their assigned specialist units. (pdf)
Amendment No. 1 to 2004-04: Amends the original filing with respect to listed company/specialist relations to reflect updated rule text. (pdf)
Amendment No. 2 to 2004-04: Amends the original filing concerning Rule 103C (Listed Company Relations Proceedings) to add a provision requiring a review by the Regulatory Group in matters pertaining to listed company and specialist relations. (pdf)
Approval to SR-NYSE-2004-04: Release No. 34-50810 – order approving proposed rule change and amendment Nos. 1 and 2 to amend its rules regarding Listed Company Relations Proceedings.  (pdf)
Approved:  03/24/2004
SR-NYSE-2004-03: Filing seeks approval of an interpretation to Rule 344 to establish certain requirements for, prerequisites to, and exemptions from, taking the Research Analyst Qualification Examination (“Series 86/87”). (pdf)
Approved:  03/01/2004
SR-NYSE-2004-02: Filing makes follow-up amendments to the NYSE Constitution (2003-34) and makes conforming changes to NYSE Rules. (pdf)
Approved:  01/23/2004
SR-NYSE-2004-01: Filing extends the effective date for certain provisions of Rules 472 (Communications with the Public”) and 344 (“Research Analysts and Supervisory Analysts”). (pdf)


2003

SR-NYSE-2003-42: Filing seeks to amend rules regarding Institutional XpressSM order executions against Liquidity QuoteSM. (Rules 13, 72, 76 and 91). (pdf)
Amendment No. 1 to SR-NYSE-2003-42: Amendment No. 1- filed to add clarifying language to original filing which relates to a pilot program for Institutional Express® orders. (pdf)
SR-NYSE-2003-42 Withdrawal Letter: The Exchange hereby withdraws filing which relates to a propsed pilot program for Institutional Xpress® orders. (pdf)
SR-NYSE-2003-29: Filing seeks to amend Rule 412 and its interpretation to apply the same procedures re the ACATS System to both standard and partial transfers of customer accounts. (pdf)
SR-NYSE-2003-27 Withdrawal Letter: Exchange hereby withdraws filing which relates to amendments to Rule 79A.15 (pdf)
SR-NYSE-2003-21 Relating to a Proposal to Increase the NYSE Fingerprint Processing Fee (pdf)
Amendment No. 1 to SR-NYSE-2003-21 Relating to a Proposal to Increase the NYSE Fingerprint Processing Fee (pdf)


2002

Approved:  09/09/2005
SR-NYSE-2002-34: Release 34-52402 -- Order approving proposed Rule change and Amendment No. 1 thereto and notice of filing and order granting accelerated approval to Amendment Nos. 2 and 3 to the proposed Rule change relating to the amendment of Rule 342 (Offices-Approval, Supervision and Control) to provide for a uniform definition of “Branch Office” (pdf)
SR-NYSE-2002-34: Relating to revised definition of "Branch Office" (pdf)
Amendment 1 to SR-NYSE-2002-34: Relating to revised definition of "Branch Office (pdf)
Amendment 2 to SR-NYSE-2002-34: Proposes amendments to Exchange Rule 342 (“Offices – Approval, Supervision and Control”) providing for a new definition of “branch office.” (pdf)
Amendment 3 to SR-NYSE-2002-34: Incorporates changes in response to suggestions made by SEC. (pdf)
Approved:  07/14/2005
SR-NYSE-2002-19: Release No. 34-52031 -- Order approving a proposed rule change and amendment nos. 1, 2 and 3 thereto relating to customer portfolio and cross-margining requirements. (pdf)
SR-NYSE-2002-19: Filing seeks approval for amendments to Exchange Rules 431 ("Margin Requirements") and 726 ("Options Disclosure Document") to permit self-clearing members and member organizations to apply a prescribed portfolio margin methodology to a specific portfolio margin account (pdf)
Amendment No. 1 to 2002-19 (pdf)
Letter Amendment to 2002-19 (pdf)
SR-NYSE-2002-19 Extension Letter, January 31, 2005: Filing seeks to extend time period until April 1, 2005 for the commission to act on portfolio margining. (pdf)
Amendment No. 3 to 2002-19: Is nonsubstantive and would require affiliates of self-clearing member organizations to be subject to the same $5 million equity requirement as any other person or entity nonspecifically described as an eligible participant as prescribed in Rule 431. (pdf)


2001

SR-NYSE-2001-51 Withdrawal of filing on Listed Company Manual Rewrite. (pdf)


1997

SR-NYSE-1997-23 Withdrawal of filing regarding Rule 39 (Market Data Restrictions and Liability Limitations). (pdf)