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NYSE Amex LLC Rulemaking
Note: NYSE Amex LLC is now known as NYSE MKT LLC. All filings by NYSE MKT LLC will be posted to the NYSE MKT page. Filings with "NYSEAmex" as part of the file number will continue to be posted to this page.
We encourage the public to submit comments on the following NYSE Amex LLC filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.
Chronological List
Third Quarter |
Second Quarter | First Quarter
NYSEAmex File Number List for 2012
Additional Archives
2012 | 2011 | 2010 | 2009
| Release No. |
Date |
Details |
| Third Quarter |
SR-NYSEAmex-2012-29 |
| 34-67672 |
Aug. 15, 2012 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Amending Commentary .07 to NYSE Amex Options Rule 904 to Eliminate Position Limits for Options on the SPDR® S&P 500® Exchange-Traded Fund
Comments due: September 12, 2012
See also: Notice: Rel. No. 34-67278 and Notice: Rel. No. 34-66984
 Submit comments on SR-NYSEAmex-2012-29
|
SR-NYSEAmex-2011-86 |
| 34-67437 |
Jul. 13, 2012 |
Order Disapproving Proposed Rule Changes to Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers and to Permit Designated Market Makers and Floor Brokers Access to Disaggregated Order Information
Additional File No.: SR-NYSE-2011-56
See also: Notice: Rel. No. 34-66981, Order: Rel. No. 34-66397, and Notice: Rel. No. 34-66036
|
SR-NYSEAmex-2012-31 |
| 34-67421 |
Jul. 12, 2012 |
Order Approving a Proposed Rule Change Defining a Primary Specialist in Each Options Class and Modifying the Specialist Entitlement Accordingly
See also: Notice: Rel. No. 34-67057
|
SR-NYSEAmex-2011-84 |
| 34-67347 |
Jul. 3, 2012 |
Order Granting Approval to Proposed Rule Changes, as Modified by Amendments Nos. 1 and 2, Adopting NYSE Rule 107C to Establish a Retail Liquidity Program for NYSE-Listed Securities on a Pilot Basis Until 12 Months From Implementation Date, and Adopting NYSE Amex Rule 107C to Establish a Retail Liquidity Program for NYSE Amex Equities Traded Securities on a Pilot Basis Until 12 Months From Implementation Date, and Granting Exemptions Pursuant to Rule 612(c) of Regulation NMS
Additional File Nos.: SR-NYSE-2011-55
See also: Notice: Rel. No. 34-66928; Notice: Rel. No. 34-66464; Order: Rel. No. 34-66346; Notice: Rel. No. 34-66003; Notice: Rel. No. 34-65672
|
| Second Quarter |
SR-NYSEAmex-2012-23 |
| 34-67314 |
Jun. 29, 2012 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as modified by Amendment No. 1, Amending NYSE Amex Options Rule 928NY Specifying that the Potential Range for the Settings Applicable to the Market Maker Risk Limitation Mechanism will be Between One and 100 Executions Per Second, to Eliminate the Current Reference to the Default Setting and, in the Future, to Specify the Applicable Minimum, Maximum and Default Settings via Regulatory Bulletin
Comments due: July 27, 2012
See also: Notice: Rel. No. 34-66857
Submit comments on SR-NYSEAmex-2012-23
|
SR-NYSEAmex-2012-29 |
| 34-67278 |
Jun. 27, 2012 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Commentary .07 to NYSE Amex Options Rule 904 to Eliminate Position Limits for Options on the SPDR® S&P 500® Exchange-Traded Fund Which List and Trade Under the Symbol SPY
See also: Notice: Rel. No. 34-67672 and Notice: Rel. No. 34-66984
Comments received are available for this notice.
|
SR-NYSEAmex-2012-24 |
| 34-67223 |
Jun. 20, 2012 |
Order Granting Approval of Proposed Rule Change to List Shares of the Nuveen Long/Short Commodity Total Return Fund Under NYSE Amex Rule 1600 et seq.
See also: Notice: Rel. No. 34-66887
|
SR-NYSEAmex-2012-22 |
| 34-67155 |
Jun. 7, 2012 |
Order Granting Approval of Proposed Rule Change Amending NYSE Amex Equities Rule 107B to Add a Class of Supplemental Liquidity Providers that are Registered as Market Makers at the Exchange
See also: Notice: Rel. No. 34-66820
|
SR-NYSEAmex-2011-73 |
| 34-67090 |
May 31, 2012 |
Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes as Modified by Amendments No. 1, Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.: SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEArca-2011-68, SR-Phlx-2011-129
Comments due: June 27, 2012
See also: Notice: Rel. No. 34-66680; Order: Rel. No. 34-66065; Notice: Rel. No. 34-65770; and Notice: Rel. No. 34-65432
|
SR-NYSEAmex-2012-31 |
| 34-67057 |
May 24, 2012 |
Notice of Filing of Proposed Rule Change by NYSE Amex LLC Defining a Primary Specialist in Each Options Class and Modifying the Specialist Entitlement Accordingly
Comments due: June 21, 2012
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-67421
|
SR-NYSEAmex-2012-32 |
| 34-67037 |
May 21, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Certificate of Formation, Amended and Restated Operating Agreement, Company Guide, and Rules to Change the Name of the Exchange to NYSE MKT LLC
Comments due: June 15, 2012
Additional Materials: Exhibit 5
Submit comments on SR-NYSEAmex-2012-32
|
SR-NYSEAmex-2012-30 |
| 34-67006 |
May 17, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Its Program that Allows Transactions to Take Place at a Price that is Below $1 Per Option Contract Until May 31, 2013
Comments due: June 13, 2012
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2011-86 |
| 34-66981 |
May 14, 2012 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Changes to Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers and to Permit Designated Market Makers and Floor Brokers Access to Disaggregated Order Information
Additional File Nos.: SR-NYSE-2011-56
See also: Order: Rel. No. 34-67437; Order: Rel. No 34-66397; Notice: Rel. No. 34-66036; and Notice: Rel. No. 34-65735
|
SR-NYSEAmex-2012-29 |
| 34-66984 |
May 14, 2012 |
Notice of Filing of Proposed Rule Change Amending Commentary .07 to NYSE Amex Options Rule 904 to Eliminate Position Limits for Options on the SPDR® S&P 500® Exchange-Traded Fund Which List and Trade Under the Symbol SPY
Comments due: June 8, 2012
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-67672 and Notice: Rel. No. 34-67278
Comments received are available for this notice.
Submit comments on SR-NYSEAmex-2012-29
|
SR-NYSEAmex-2012-28 |
| 34-66959 |
May 10, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Amex Equities Price List for Certain Fees Relating to Transactions in Exchange-Listed Securities and Trading Pursuant to Unlisted Trading Privileges of Securities Listed on the Nasdaq Stock Market LLC
Comments due: June 6, 2012
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2011-84 |
| 34-66928 |
May 4, 2012 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Changes, as Modified by Amendments Nos. 1 and 2, Adopting NYSE Rule 107C to Establish a Retail Liquidity Program for NYSE-Listed Securities on a Pilot Basis Until 12 Months From Implementation Date, and Adopting NYSE Amex Rule 107C to Establish a Retail Liquidity Program for NYSE Amex Equities Traded Securities on a Pilot Basis Until 12 Months From Implementation Date
|
SR-NYSEAmex-2012-27 |
| 34-66903 |
May 2, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing an Increase to the Login Fee Within the NYSE Amex Options Fee Schedule
Comments due: May 29, 2012
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2012-24 |
| 34-66887 |
May 1, 2012 |
Notice of Filing of Proposed Rule Change to List Shares of the Nuveen Long/Short Commodity Total Return Fund Under NYSE Amex Rule 1600 et seq.
Comments due: May 29, 2012
See also: Order: Rel. No. 34-67223
|
SR-NYSEAmex-2012-23 |
| 34-66857 |
Apr. 25, 2012 |
Notice of Filing of Proposed Rule Change Amending NYSE Amex Options Rule 928NY Specifying that the Potential Range for the Settings Applicable to the Market Maker Risk Limitation Mechanism will be Between One and 100 Executions Per Second, to Eliminate the Current Reference to the Default Setting and, in the Future, to Specify the Applicable Minimum, Maximum and Default Settings via Regulatory Bulletin
Comments due: May 22, 2012
Additional Materials: Exhibit 5
See also: Notice/Order: Rel. No. 34-67314
|
SR-NYSEAmex-2012-22 |
| 34-66820 |
Apr. 17, 2012 |
Notice of Filing of Proposed Rule Change Amending NYSE Amex Equities Rule 107B to Add a Class of Supplemental Liquidity Providers that are Registered as Market Makers at the Exchange
Comments due: May 14, 2012
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-67155
|
SR-NYSEAmex-2012-10 |
| 34-66809 |
Apr. 13, 2012 |
Order Granting Approval of a Proposed Rule Change Amending NYSE Amex Rule 476A to Update Its "List of Equities Rule Violations and Fines Applicable Thereto"
See also: Notice: Rel. No. 34-66481
|
SR-NYSEAmex-2012-21 |
| 34-66795 |
Apr. 12, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Recent Changes to FINRA Rules 7440 and 7450, and to Adopt Recent Changes to FINRA Rule 5320 by Amending Supplementary Material .02 to NYSE Amex Equities Rule 5320 to Require that Member Organizations Report to the Order Audit Trail System Information Barriers Put Into Place by the Member Organization in Reliance on Supplementary Material .02 to NYSE Amex Equities Rule 5320
Comments due: May 9, 2012
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2012-20 |
| 34-66776 |
Apr. 10, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Amendments to its Price List to Raise the Supplemental Liquidity Provider Rebate and Raise the NYSE Crossing Session II Rate and Fee Cap
Comments due: May 7, 2012
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2012-12 |
| 34-66710 |
Apr. 2, 2012 |
Order Approving a Proposed Rule Change Amending the NYSE Amex Equities Definition of Approved Person to Exclude Foreign Affiliates, Eliminating the Application Process for Approved Persons, and Making Related Technical and Conforming Changes
See also: Notice: Rel. No. 34-66463
| | First Quarter |
SR-NYSEAmex-2011-73 |
| 34-66680 |
Mar. 29, 2012 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Changes Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.: SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEArca-2011-68, SR-Phlx-2011-129
See also: Order: Rel. No. 34-67090; Order: Rel. No. 34-66065; Notice: Rel. No. 34-65770; and Notice: Rel. No. 34-65432
|
SR-NYSEAmex-2012-19 |
| 34-66663 |
Mar. 26, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Clarifying that Rule Change in Connection with Proposed Combination Between NYSE Euronext and Deutsche Börse AG Will Not Become Effective
Comments due: April 20, 2012
|
SR-NYSEAmex-2012-18 |
| 34-66649 |
Mar. 23, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Option Trading Rules to Extend the Operation of Its Pilot Program Regarding Minimum Value Sizes for Flexible Exchange Options Until March 29, 2013
Comments due: April 19, 2012
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2012-17 |
| 34-66599 |
Mar. 14, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Fee Changes Relating to Trading Nasdaq Securities Pursuant to Unlisted Trading Privileges
Comments due: April 10, 2012
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2012-16 |
| 34-66561 |
Mar. 9, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Changes to the Per Contract Execution Costs for Certain Participants
Comments due: April 5, 2012
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2012-15 |
| 34-66518 |
Mar. 6, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Changes to the NYSE Amex Options Fee Schedule to Add Fees for Reserve Floor Market Maker Amex Trading Permits
Comments due: April 2, 2012
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2012-13 |
| 34-66482 |
Feb. 28, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Filing the Content Outline and Selection Specifications for the Proprietary Traders Qualification Examination ("Series 56") Program
Comments due: March 26, 2012
|
SR-NYSEAmex-2012-10 |
| 34-66481 |
Feb. 28, 2012 |
Notice of Filing of Proposed Rule Change Amending NYSE Amex Rule 476A to Update Its "List of Equities Rule Violations and Fines Applicable Thereto"
Comments due: March 26, 2012
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-66809
|
SR-NYSEAmex-2011-84 |
| 34-66464 |
Feb. 24, 2012 |
Notice of Filing of Partial Amendment No. 2 to Proposed Rule Changes, As Modified By Amendment No. 1, Adopting New Rule 107C to Establish a Retail Liquidity Program on a Pilot Basis to Attract Additional Retail Order Flow to the Exchanges
Comments due: March 22, 2012
See also: Order: Rel. No. 34-66346; Notice: Rel. No. 34-66003; Notice: Rel. No. 34-65671
Submit comments on SR-NYSE-2011-55
|
SR-NYSEAmex-2012-12 |
| 34-66463 |
Feb. 24, 2012 |
Notice of Filing of Proposed Rule Change Amending the NYSE Amex Equities Definition of Approved Person to Exclude Foreign Affiliates, Eliminating the Application Process for Approved Persons, and Making Related Technical and Conforming Changes
Comments due: March 22, 2012
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-66710
|
SR-NYSEAmex-2012-11 |
| 34-66453 |
Feb. 23, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Registration Requirements for Traders
Comments due: March 21, 2012
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2012-14 |
| 34-66450 |
Feb. 23, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Correcting the Formatting of a Recently Adopted NYSE Amex Rule
Comments due: March 21, 2012
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2012-08 |
| 34-66412 |
Feb. 16, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating Deleting NYSE Amex Equities Rule 319, Which Addresses Fidelity Bond Requirements, and Adopt New Rule Text that is Substantially Similar to FINRA Rule 4360
Comments due: March 15, 2012
|
SR-NYSEAmex-2012-07 |
| 34-66400 |
Feb. 15, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 123C(4) to Provide for How Certain Interest is Included in the Calculation of MOC and LOC Imbalances
Comments due: March 14, 2012
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2011-86 |
| 34-66397 |
Feb. 15, 2012 |
Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Changes to Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers and to Permit Designated Market Makers and Floor Brokers Access to Disaggregated Order Information
Comments due: March 14, 2012
Rebuttal comments due: March 28, 2012
Additional File No.: SR-NYSE-2011-56
See also: Notice: Rel. No. 34-66981; Notice: Rel. No. 34-66036; and Notice: Rel. No. 34-65735
Comments received are available for this proposal.
|
SR-NYSEAmex-2012-03 |
| 34-66385 |
Feb. 13, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide for "Self-Trade Prevention" on the Exchange
Comments due: March 9, 2012
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2012-05 |
| 34-66376 |
Feb. 10, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending an Existing Rebate Relating to Qualified Contingent Cross Orders that are Entered and Executed Through the Exchange Systems
Comments due: March 8, 2012
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2011-101 |
| 34-66371 |
Feb. 10, 2012 |
Order Granting Approval of a Proposed Rule Change Amending NYSE Amex Equities Rules 504 and 509 to Modify the Quoting Requirements Applicable to Designated Market Maker Units Registered in Nasdaq Stock Market Securities Traded on the Exchange Subject to the Unlisted Trading Privileges Pilot Program
See also: Notice: Rel. No. 34-66043
|
SR-NYSEAmex-2012-09 |
| 34-66349 |
Feb. 7, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .05 to NYSE Amex Options Rule 903 to Allow Trading of Options on iShares® Silver Trust and United States Oil Fund at $0.50 Strike Price Intervals Where the Strike Price is Less than $75
Comments due: March 5, 2012
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2011-84 |
| 34-66346 |
Feb. 7, 2012 |
Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Changes, as Modified by Amendments No. 1, Adopting NYSE Rule 107C to Establish a Retail Liquidity Program for NYSE-Listed Securities on a Pilot Basis Until 12 months From Implementation Date, Which Shall Occur No Later Than 90 Days After Approval, If Granted and Adopting NYSE Amex Rule 107C to Establish a Retail Liquidity Program for NYSE Amex Equities Traded Securities on a Pilot Basis Until 12 months From Implementation Date, Which Shall Occur No Later Than 90 Days After Approval, If Granted
Additional File No.: SR-NYSE-2011-55
Comments due: March 5, 2012
See also: Order: Rel. No. 34-66464; Notice: Rel. No. 34-66003; Notice: Rel. No. 34-65671
Comments received are available for this notice.
|
SR-NYSEAmex-2012-02 |
| 34-66308 |
Jan. 25, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Options Rule 902NY to Create a Reserve Floor Market Maker Amex Trading Permit (Corrected)
Comments due: February 21, 2012
Additional Materials: Exhibit 5
See also: Correction
|
SR-NYSEAmex-2011-78 |
| 34-66171 |
Jan. 17, 2012 |
Order Granting Approval of Proposed Rule Change Relating to a Corporate Transaction in which Deutsche Börse AG and NYSE Euronext Would Become Subsidiaries of Alpha Beta Netherlands Holding N.V.
See also: Notice: Rel. No. 34-65669
|
SR-NYSEAmex-2011-106 |
| 34-66137 |
Jan. 11, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 128, Which Governs Clearly Erroneous Executions, to Extend the Effective Date of The Pilot by Which Portions of Such Rule Operate Until July 31, 2012
Comments due: February 8, 2012
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2011-105 |
| 34-66133 |
Jan. 11, 2011 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending NYSE Amex Equities Rule 80C, Which Provides for Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, to Extend the Effective Date of The Pilot Until July 31, 2012
Comments due: February 8, 2012
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2011-108 |
| 34-66105 |
Jan. 5, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List to eliminate the Clerk Badge Fee and the e-Broker Hand Held Device Fee
Comments due: February 1, 2012
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2011-107 |
| 34-66104 |
Jan. 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List Changing the Monthly Fees for the Use of Ports that Provide Connectivity to Its Equity Trading Systems
Comments due: February 1, 2012
Additional Materials: Exhibit 5
|
| NYSEAmex File Number List for 2012 |
| Release No. |
Date |
Details |
SR-NYSEAmex-2012-32 |
| 34-67037 |
May 21, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Certificate of Formation, Amended and Restated Operating Agreement, Company Guide, and Rules to Change the Name of the Exchange to NYSE MKT LLC
Comments due: June 15, 2012
Additional Materials: Exhibit 5
Submit comments on SR-NYSEAmex-2012-32
|
SR-NYSEAmex-2012-31 |
| 34-67421 |
Jul. 12, 2012 |
Order Approving a Proposed Rule Change Defining a Primary Specialist in Each Options Class and Modifying the Specialist Entitlement Accordingly
|
| 34-67057 |
May 24, 2012 |
Notice of Filing of Proposed Rule Change by NYSE Amex LLC Defining a Primary Specialist in Each Options Class and Modifying the Specialist Entitlement Accordingly
Comments due: June 21, 2012
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2012-30 |
| 34-67006 |
May 17, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Its Program that Allows Transactions to Take Place at a Price that is Below $1 Per Option Contract Until May 31, 2013
Comments due: June 13, 2012
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2012-29 |
| 34-67672 |
Aug. 15, 2012 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Amending Commentary .07 to NYSE Amex Options Rule 904 to Eliminate Position Limits for Options on the SPDR® S&P 500® Exchange-Traded Fund
Comments due: September 12, 2012
Submit comments on SR-NYSEAmex-2012-29
|
| 34-67278 |
Jun. 27, 2012 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Commentary .07 to NYSE Amex Options Rule 904 to Eliminate Position Limits for Options on the SPDR® S&P 500® Exchange-Traded Fund Which List and Trade Under the Symbol SPY
Comments received are available for this notice.
|
| 34-66984 |
May 14, 2012 |
Notice of Filing of Proposed Rule Change Amending Commentary .07 to NYSE Amex Options Rule 904 to Eliminate Position Limits for Options on the SPDR® S&P 500® Exchange-Traded Fund Which List and Trade Under the Symbol SPY
Comments due: June 8, 2012
Additional Materials: Exhibit 5
Comments received are available for this notice.
Submit comments on SR-NYSEAmex-2012-29
|
SR-NYSEAmex-2012-28 |
| 34-66959 |
May 10, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Amex Equities Price List for Certain Fees Relating to Transactions in Exchange-Listed Securities and Trading Pursuant to Unlisted Trading Privileges of Securities Listed on the Nasdaq Stock Market LLC
Comments due: June 6, 2012
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2012-27 |
| 34-66903 |
May 2, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing an Increase to the Login Fee Within the NYSE Amex Options Fee Schedule
Comments due: May 29, 2012
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2012-24 |
| 34-67223 |
Jun. 20, 2012 |
Order Granting Approval of Proposed Rule Change to List Shares of the Nuveen Long/Short Commodity Total Return Fund Under NYSE Amex Rule 1600 et seq.
|
| 34-66887 |
May 1, 2012 |
Notice of Filing of Proposed Rule Change to List Shares of the Nuveen Long/Short Commodity Total Return Fund Under NYSE Amex Rule 1600 et seq.
Comments due: May 29, 2012
|
SR-NYSEAmex-2012-23 |
| 34-67314 |
Jun. 29, 2012 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as modified by Amendment No. 1, Amending NYSE Amex Options Rule 928NY Specifying that the Potential Range for the Settings Applicable to the Market Maker Risk Limitation Mechanism will be Between One and 100 Executions Per Second, to Eliminate the Current Reference to the Default Setting and, in the Future, to Specify the Applicable Minimum, Maximum and Default Settings via Regulatory Bulletin
Comments due: July 27, 2012
Submit comments on SR-NYSEAmex-2012-23
|
| 34-66857 |
Apr. 25, 2012 |
Notice of Filing of Proposed Rule Change Amending NYSE Amex Options Rule 928NY Specifying that the Potential Range for the Settings Applicable to the Market Maker Risk Limitation Mechanism will be Between One and 100 Executions Per Second, to Eliminate the Current Reference to the Default Setting and, in the Future, to Specify the Applicable Minimum, Maximum and Default Settings via Regulatory Bulletin
Comments due: May 22, 2012
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2012-22 |
| 34-67155 |
Jun. 7, 2012 |
Order Granting Approval of Proposed Rule Change Amending NYSE Amex Equities Rule 107B to Add a Class of Supplemental Liquidity Providers that are Registered as Market Makers at the Exchange
|
| 34-66820 |
Apr. 17, 2012 |
Notice of Filing of Proposed Rule Change Amending NYSE Amex Equities Rule 107B to Add a Class of Supplemental Liquidity Providers that are Registered as Market Makers at the Exchange
Comments due: May 14, 2012
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2012-21 |
| 34-66795 |
Apr. 12, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Recent Changes to FINRA Rules 7440 and 7450, and to Adopt Recent Changes to FINRA Rule 5320 by Amending Supplementary Material .02 to NYSE Amex Equities Rule 5320 to Require that Member Organizations Report to the Order Audit Trail System Information Barriers Put Into Place by the Member Organization in Reliance on Supplementary Material .02 to NYSE Amex Equities Rule 5320
Comments due: May 9, 2012
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2012-20 |
| 34-66776 |
Apr. 10, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Amendments to its Price List to Raise the Supplemental Liquidity Provider Rebate and Raise the NYSE Crossing Session II Rate and Fee Cap
Comments due: May 7, 2012
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2012-19 |
| 34-66663 |
Mar. 26, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Clarifying that Rule Change in Connection with Proposed Combination Between NYSE Euronext and Deutsche Börse AG Will Not Become Effective
Comments due: April 20, 2012
|
SR-NYSEAmex-2012-18 |
| 34-66649 |
Mar. 23, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Option Trading Rules to Extend the Operation of Its Pilot Program Regarding Minimum Value Sizes for Flexible Exchange Options Until March 29, 2013
Comments due: April 19, 2012
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2012-17 |
| 34-66599 |
Mar. 14, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Fee Changes Relating to Trading Nasdaq Securities Pursuant to Unlisted Trading Privileges
Comments due: April 10, 2012
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2012-16 |
| 34-66561 |
Mar. 9, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Changes to the Per Contract Execution Costs for Certain Participants
Comments due: April 5, 2012
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2012-15 |
| 34-66518 |
Mar. 6, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Changes to the NYSE Amex Options Fee Schedule to Add Fees for Reserve Floor Market Maker Amex Trading Permits
Comments due: April 2, 2012
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2012-14 |
| 34-66450 |
Feb. 23, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Correcting the Formatting of a Recently Adopted NYSE Amex Rule
Comments due: March 21, 2012
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2012-13 |
| 34-66482 |
Feb. 28, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Filing the Content Outline and Selection Specifications for the Proprietary Traders Qualification Examination ("Series 56") Program
Comments due: March 26, 2012
|
SR-NYSEAmex-2012-12 |
| 34-66710 |
Apr. 2, 2012 |
Order Approving a Proposed Rule Change Amending the NYSE Amex Equities Definition of Approved Person to Exclude Foreign Affiliates, Eliminating the Application Process for Approved Persons, and Making Related Technical and Conforming Changes
| | 34-66463 |
Feb. 24, 2012 |
Notice of Filing of Proposed Rule Change Amending the NYSE Amex Equities Definition of Approved Person to Exclude Foreign Affiliates, Eliminating the Application Process for Approved Persons, and Making Related Technical and Conforming Changes
Comments due: March 22, 2012
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2012-11 |
| 34-66453 |
Feb. 23, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Registration Requirements for Traders
Comments due: March 21, 2012
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2012-10 |
| 34-66809 |
Apr. 13, 2012 |
Order Granting Approval of a Proposed Rule Change Amending NYSE Amex Rule 476A to Update Its "List of Equities Rule Violations and Fines Applicable Thereto"
|
| 34-66481 |
Feb. 28, 2012 |
Notice of Filing of Proposed Rule Change Amending NYSE Amex Rule 476A to Update Its "List of Equities Rule Violations and Fines Applicable Thereto"
Comments due: March 26, 2012
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2012-09 |
| 34-66349 |
Feb. 7, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .05 to NYSE Amex Options Rule 903 to Allow Trading of Options on iShares® Silver Trust and United States Oil Fund at $0.50 Strike Price Intervals Where the Strike Price is Less than $75
Comments due: March 5, 2012
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2012-08 |
| 34-66412 |
Feb. 16, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating Deleting NYSE Amex Equities Rule 319, Which Addresses Fidelity Bond Requirements, and Adopt New Rule Text that is Substantially Similar to FINRA Rule 4360
Comments due: March 15, 2012
|
SR-NYSEAmex-2012-07 |
| 34-66400 |
Feb. 15, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 123C(4) to Provide for How Certain Interest is Included in the Calculation of MOC and LOC Imbalances
Comments due: March 14, 2012
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2012-05 |
| 34-66376 |
Feb. 10, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending an Existing Rebate Relating to Qualified Contingent Cross Orders that are Entered and Executed Through the Exchange Systems
Comments due: March 8, 2012
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2012-03 |
| 34-66385 |
Feb. 13, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide for "Self-Trade Prevention" on the Exchange
Comments due: March 9, 2012
Additional Materials: Exhibit 5
|
SR-NYSEAmex-2012-02 |
| 34-66308 |
Jan. 25, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Options Rule 902NY to Create a Reserve Floor Market Maker Amex Trading Permit (Corrected)
Comments due: February 21, 2012
Additional Materials: Exhibit 5
See also: Correction
|
http://www.sec.gov/rules/sro/nyseamex.shtml
|
