Post-Trade Member Firm Notifications

DESCRIPTION DATE/VERSION
Managed File Transfer – New MOL Processing 10/29/14
PT192 GEMS SOS MQ Processing 4/9/14
PT191 GEMS SOS MQ Processing 1/30/14
PT190 OCS Migration to GEMS – User Testing and Training Update 10/8/13
PT189 OCS Migration to GEMS 9/6/13
PT188 Debit List MIgration to GEMS 8/15/13
PT187 SOS Implementation in GEMS 5/29/13
PT186 SOS in GEMS Update 4/16/13
PT185 SOS in GEMS Testing and Implementation: Revised 3/11/13
PT185 SOS in GEMS Testing and Implementation 2/15/13
PT184 SOS in GEMS User Guide 11/16/12
PT183 GEMS “Step-Out Service” Access 8/13/12
PT182 OCS “Step-Out Service” migration to GEMS 7/12/12
PT181 Reference Price on MOL for IPO’s 6/22/12
PT180 NYSE/DTCC Universal Trade Capture Format Implementation 4/25/12
PT179 NYSE/DTCC Universal Trade Capture Format Testing 4/12/12
PT178 ANON Comparison Change 3/12/12
PT0177 Broker Risk on Badge MOL REVISED 11/4/11
PT0176 MPID on the MOL 6/29/11
PT0175 Locking in Third Party Algo Away Executions 6/27/11
PT0174 Post Trade Backup Data Center Industry Test 2/28/11

Technology Member Firm Notifications

DESCRIPTION DATE
New Order ID Returned on Outbound Messages 2/26/15
NYSE Cash Equities Trading Collars 1/16/15
NYSE and NYSE American - Expansion of ALO Modifier and Day time in force for ISOs 10/15/14
NYSE & NYSE American Introduce New Bulk Cancel Functionality 2/25/14
NYSE Cash Equities Market offer new Mid-Point Order Type 8/14/13
NYSE Cash Equities Introduce MTS IOC Order Type Update 3/22/13
NYSE Cash Equities Introduce New Self Trade Prevention Service 2/4/13
Matching Engine Upgrade: Universal Trade Platform (UTP) to replace NYSE Display Book 8/10/12
Technical changes in support of the new Retail Liquidity Program 7/17/12
CCG Support for Market Participant ID (MPID) for Broker OATS Reporting 6/7/11
NYSE to Introduce New Binary CCG & UTPDirect Protocol  10/13/10
New NYSE Displayed Liquidity Indicators (REVISED )  10/6/10
NYSE to Introduce a New Optional Auto-Cancel on Disconnect Service 9/2/10
NYSE "Done for Day" Subscription Service Update 9/1/10
Trading in Shares: Elimination of the NYSE and NYSE American Odd Lot Systems 6/30/10
New NYSE Displayed Liquidity Indicators 3/10/10
Update: Automatic Cancelation of Partially Executed/Canceled GTC Orders 12/23/09
New Closing Offset Order Type 11/16/09
Automatic Cancelation of Partially Executed/Canceled GTC's & "Done For Day" Service Updates 11/11/09
Sub-penny Priced Orders < $1.00 11/6/09
NYSE American Trading of NASDAQ Symbols Under UTP - Industry Testing  11/4/09
NYSE American Trading of NASDAQ Symbols Under UTP 9/8/09
Routing to NYSE MatchPoint via CCG 8/28/09
CCG Supports Expanded Activity IDs on Execution Reports 7/28/09
NYSE Broker Systems Support Increased Order Quantity and Special Settlement Types 7/10/09
New Done For Day Subscription Service 6/29/09
New Odd Lot Liquidity Indicator 6/19/09
New Database (SDBK): Cancel Replace to Reduce Functionality 3/27/09
New Database (SDBK) Stock Migration Plan 3/5/09
CCG 3.0 and Direct Routing to the NYSE e-BrokerTM Handheld 2/26/09
Technical Addendum:  Enhanced MOC/LOC Handling 2/20/09
Decommission of SDOT: Migration to New Database SDBK for NYSE and NYSE American Securities  2/2/09
New Database (SDBK) Stock Migration and Continuation of Reduced Latency 1/20/09
New MOC/LOC Order Blocks 12/12/08
CCG Enhancements Release 2.1 10/1/08
NYSE Alternext U.S. (NYSE/MKT Integration) - Revised Industry Test Schedule 9/25/08
NYSE Alternext U.S. (NYSE/MKT Integration) - Revised Trading System Update  9/9/08
NYSE Alternext U.S. (NYSE/MKT Integration) - FIX Message Formatting Technical Differences 8/1/08
Reserve Order Type 5/8/08
DBK Link ID for Execution Reports 3/10/08
New Execution Report Billing Indicators 11/15/07
Customer Execution Identifier 11/1/07
Partial Round Lot Report Processing Modifications 9/14/07
Connectivity to Common Customer Gateway (CCG) and Improved Latency (Business Memo) 8/2/07
Connectivity to Common Customer Gateway (CCG) and Improved Latency (Technical Memo) 8/2/07
Common Customer Gateway & Reduced Latency 6/5/07
Common Customer Gateway Phase I and II 3/30/07
Do Not Ship Order 3/13/07
Away Market Indicators (Updated version of 12/19/06 document) 1/31/07
Away Market Indicators 12/19/06
Acceptance of New Account Type Q 1/31/03

Technology Member Firm Notifications

DESCRIPTIONDATE
New Order ID Returned on Outbound Messages02/26/15
NYSE Cash Equities Trading Collars01/16/15
NYSE and NYSE American - Expansion of ALO Modifier and Day time in force for ISOs10/15/14
NYSE & NYSE American Introduce New Bulk Cancel Functionality02/25/14
NYSE Cash Equities Market offer new Mid-Point Order Type08/14/13
NYSE Cash Equities Introduce MTS IOC Order Type Update03/22/13
NYSE Cash Equities Introduce New Self Trade Prevention Service02/04/13
Matching Engine Upgrade: Universal Trade Platform (UTP) to replace NYSE Display Book08/10/12
Technical changes in support of the new Retail Liquidity Program07/17/12
CCG Support for Market Participant ID (MPID) for Broker OATS Reporting06/07/11
NYSE to Introduce New Binary CCG & UTPDirect Protocol 10/13/10
New NYSE Displayed Liquidity Indicators (REVISED ) 10/06/10
NYSE to Introduce a New Optional Auto-Cancel on Disconnect Service09/02/10
NYSE "Done for Day" Subscription Service Update09/01/10
Trading in Shares: Elimination of the NYSE and NYSE American Odd Lot Systems06/30/10
New NYSE Displayed Liquidity Indicators03/10/10
Update: Automatic Cancelation of Partially Executed/Canceled GTC Orders12/23/09
New Closing Offset Order Type11/16/09
Automatic Cancelation of Partially Executed/Canceled GTC's & "Done For Day" Service Updates11/11/09
Sub-penny Priced Orders < $1.0011/06/09
NYSE American Trading of NASDAQ Symbols Under UTP - Industry Testing 11/04/09
NYSE American Trading of NASDAQ Symbols Under UTP09/08/09
Routing to NYSE MatchPoint via CCG08/28/09
CCG Supports Expanded Activity IDs on Execution Reports07/28/09
NYSE Broker Systems Support Increased Order Quantity and Special Settlement Types07/10/09
New Done For Day Subscription Service06/29/09
New Odd Lot Liquidity Indicator06/19/09
New Database (SDBK): Cancel Replace to Reduce Functionality03/27/09
New Database (SDBK) Stock Migration Plan03/05/09
CCG 3.0 and Direct Routing to the NYSE e-BrokerTM Handheld02/26/09
Technical Addendum:  Enhanced MOC/LOC Handling02/20/09
Decommission of SDOT: Migration to New Database SDBK for NYSE and NYSE American Securities 02/02/09
New Database (SDBK) Stock Migration and Continuation of Reduced Latency01/20/09
New MOC/LOC Order Blocks12/12/08
CCG Enhancements Release 2.110/01/08
NYSE Alternext U.S. (NYSE/MKT Integration) - Revised Industry Test Schedule09/25/08
NYSE Alternext U.S. (NYSE/MKT Integration) - Revised Trading System Update 09/09/08
NYSE Alternext U.S. (NYSE/MKT Integration) - FIX Message Formatting Technical Differences08/01/08
Reserve Order Type05/08/08
DBK Link ID for Execution Reports03/10/08
New Execution Report Billing Indicators11/15/07
Customer Execution Identifier11/01/07
Partial Round Lot Report Processing Modifications09/14/07
Connectivity to Common Customer Gateway (CCG) and Improved Latency (Business Memo)08/02/07
Connectivity to Common Customer Gateway (CCG) and Improved Latency (Technical Memo)08/02/07
Common Customer Gateway & Reduced Latency06/05/07
Common Customer Gateway Phase I and II03/30/07
Do Not Ship Order03/13/07
Away Market Indicators (Updated version of 12/19/06 document)01/31/07
Away Market Indicators12/19/06
Acceptance of New Account Type Q01/31/03