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NYSE MKT LLC Rulemaking
We encourage the public to submit comments on the following NYSE MKT 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
First Quarter
NYSE MKT File Number List for 2013
Additional Archives
2013 | 2012
| Release No. |
Date |
Details |
| First Quarter |
SR-NYSEMKT-2013-12 |
| 34-68926 |
Feb. 14, 2013 |
Notice of Filing of Proposed Rule Change Amending Rule 975NY In Part and Adding a New Section to Address Errors That Involve Complex Orders
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
 Submit comments on SR-NYSEMKT-2013-12
|
SR-NYSEMKT-2012-58 |
| 34-68923 |
Feb. 13, 2013 |
Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes Deleting NYSE Rules 95(c) and (d) and NYSE MKT Rules 95(c) and (d) - Equities and Related Supplementary Material
Additional File No.: SR-NYSE-2012-57
Comments due: 21 days after publication in the Federal Register
Rebuttal comments due: 35 days after publication in the Federal Register
See also: Notice: Rel. No. 34-68521, Notice: Rel. No. 34-68186
Submit comments on SR-NYSEMKT-2012-58
|
SR-NYSEMKT-2013-05 |
| 34-68875 |
Feb. 8, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 80C -Equities to Establish Rules to Comply with the Requirements of the Plan to Address Extraordinary Market Volatility Submitted to the Commission Pursuant to Rule 608 of Regulation NMS
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Submit comments on SR-NYSEMKT-2013-05
|
SR-NYSEMKT-2013-11 |
| 34-68801 |
Feb. 1, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 128 - Equities, which Governs Clearly Erroneous Executions, Extending the Effective Date of the Pilot Until September 30, 2013 and Adopting New Paragraph (i) to Rule 128-Equities in Connection with the Upcoming Operation of the Plan to Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS under the Act
Comments due: February 27, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSEMKT-2013-11
|
SR-NYSEMKT-2013-08 |
| 34-68787 |
Jan. 31, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Delaying the Operative Date of A Rule Change to Exchange Rule 80B - Equities, Which Provides for Methodology for Determining When to Halt Trading in All Stocks Due to Extraordinary Market Volatility, From the Date of February 4, 2013, Until April 8, 2013
Comments due: February 27, 2013
Submit comments on SR-NYSEMKT-2013-08
|
SR-NYSEMKT-2013-07 |
| 34-68746 |
Jan. 28, 2013 |
Notice of Filing of Proposed Rule Change Amending the Attestation Requirement of Rule 107C - Equities To Allow a Retail Member Organization To Attest That "Substantially All" Orders Submitted To The Retail Liquidity Program Will Qualify As "Retail Orders"
Comments due: February 25, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSEMKT-2013-07
|
SR-NYSEMKT-2013-04 |
| 34-68744 |
Jan. 28, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 80C - Equities, which Provides for Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, Extending the Effective Date of the Pilot Until the Earlier of the Initial Date of Operations of the Regulation NMS Plan to Address Extraordinary Market Volatility or February 4, 2014
Comments due: February 25, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSEMKT-2013-04
|
SR-NYSEMKT-2013-02 |
| 34-68710 |
Jan. 23, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 107C - Equities to Allow Retail Liquidity Providers to Enter Retail Price Improvement Orders in a Non-RLP Capacity for Securities to Which the RLP is Not Assigned
Comments due: February 19, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSEMKT-2013-02
|
SR-NYSEMKT-2013-06 |
| 34-68705 |
Jan. 22, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Suspension of Those Aspects of Rules 36.20 - Equities and 36.21 - Equities That Would Not Permit Floor Brokers To Use Personal Portable Phone Devices on the Trading Floor Following the Aftermath of Hurricane Sandy Until the Earlier of When Phone Service is Fully Restored or Friday, February 15, 2013
Comments due: February 19, 2013
Submit comments on SR-NYSEMKT-2013-06
|
SR-NYSEMKT-2012-48 |
| 34-68637 |
Jan. 11, 2013 |
Notice of Filing of Amendment No. 3, and Order Granting Accelerated Approval for Proposed Rule Change, as Modified by Amendment Nos. 1 and 3, to Amend the Listing Rules for Compensation Committees to Comply with Securities Exchange Act Rule 10C-1 and Make Other Related Changes
Comments due: February 12, 2013
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-68313, Notice: Rel. No. 34-68007
Submit comments on SR-NYSEMKT-2012-48
|
SR-NYSEMKT-2013-01 |
| 34-68630 |
Jan. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List with Respect to Regulatory Fees Related to the Central Registration Depository, Which are Collected by the Financial Industry Regulatory Authority, Inc.
Comments due: February 7, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSEMKT-2013-01
|
SR-NYSEMKT-2012-89 |
| 34-68589 |
Jan. 4, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule with Respect to Regulatory Fees Related to the Central Registration Depository, Which are Collected by the Financial Industry Regulatory Authority, Inc.
Comments due: February 1, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSEMKT-2012-89
|
SR-NYSEMKT-2012-86 |
| 34-68561 |
Jan. 2, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 500 - Equities to Extend the Operation of the Pilot Program that Allows Nasdaq Stock Market ("Nasdaq") Securities to be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges
Comments due: January 29, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSEMKT-2012-86
|
SR-NYSEMKT-2012-84 |
| 34-68559 |
Jan. 2, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its New Market Model Pilot Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or July 31, 2013
Comments due: January 29, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSEMKT-2012-84
|
SR-NYSEMKT-2012-85 |
| 34-68557 |
Jan. 2, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of its Supplemental Liquidity Providers Pilot (Rule 107B - Equities) Until the Earlier of the Securities and Exchange Commission's Approval To Make Such Pilot Permanent or July 31, 2013
Comments due: January 29, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSEMKT-2012-85
|
| NYSEMKT File Number List for 2013 |
| Release No. |
Date |
Details |
SR-NYSEMKT-2013-12 |
| 34-68926 |
Feb. 14, 2013 |
Notice of Filing of Proposed Rule Change Amending Rule 975NY In Part and Adding a New Section to Address Errors That Involve Complex Orders
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Submit comments on SR-NYSEMKT-2013-12
|
SR-NYSEMKT-2013-11 |
| 34-68801 |
Feb. 1, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 128 - Equities, which Governs Clearly Erroneous Executions, Extending the Effective Date of the Pilot Until September 30, 2013 and Adopting New Paragraph (i) to Rule 128-Equities in Connection with the Upcoming Operation of the Plan to Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS under the Act
Comments due: February 27, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSEMKT-2013-11
|
SR-NYSEMKT-2013-08 |
| 34-68787 |
Jan. 31, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Delaying the Operative Date of A Rule Change to Exchange Rule 80B - Equities, Which Provides for Methodology for Determining When to Halt Trading in All Stocks Due to Extraordinary Market Volatility, From the Date of February 4, 2013, Until April 8, 2013
Comments due: February 27, 2013
Submit comments on SR-NYSEMKT-2013-08
|
SR-NYSEMKT-2013-07 |
| 34-68746 |
Jan. 28, 2013 |
Notice of Filing of Proposed Rule Change Amending the Attestation Requirement of Rule 107C - Equities To Allow a Retail Member Organization To Attest That "Substantially All" Orders Submitted To The Retail Liquidity Program Will Qualify As "Retail Orders"
Comments due: February 25, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSEMKT-2013-07
|
SR-NYSEMKT-2013-06 |
| 34-68705 |
Jan. 22, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Suspension of Those Aspects of Rules 36.20 - Equities and 36.21 - Equities That Would Not Permit Floor Brokers To Use Personal Portable Phone Devices on the Trading Floor Following the Aftermath of Hurricane Sandy Until the Earlier of When Phone Service is Fully Restored or Friday, February 15, 2013
Comments due: February 19, 2013
Submit comments on SR-NYSEMKT-2013-06
|
SR-NYSEMKT-2013-05 |
| 34-68875 |
Feb. 8, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 80C -Equities to Establish Rules to Comply with the Requirements of the Plan to Address Extraordinary Market Volatility Submitted to the Commission Pursuant to Rule 608 of Regulation NMS
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Submit comments on SR-NYSEMKT-2013-05
|
SR-NYSEMKT-2013-04 |
| 34-68744 |
Jan. 28, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 80C - Equities, which Provides for Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, Extending the Effective Date of the Pilot Until the Earlier of the Initial Date of Operations of the Regulation NMS Plan to Address Extraordinary Market Volatility or February 4, 2014
Comments due: February 25, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSEMKT-2013-04
|
SR-NYSEMKT-2013-02 |
| 34-68710 |
Jan. 23, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 107C - Equities to Allow Retail Liquidity Providers to Enter Retail Price Improvement Orders in a Non-RLP Capacity for Securities to Which the RLP is Not Assigned
Comments due: February 19, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSEMKT-2013-02
|
SR-NYSEMKT-2013-01 |
| 34-68630 |
Jan. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List with Respect to Regulatory Fees Related to the Central Registration Depository, Which are Collected by the Financial Industry Regulatory Authority, Inc.
Comments due: February 7, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NYSEMKT-2013-01
|
http://www.sec.gov/rules/sro/nysemkt.shtml
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