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NYSE Rulemaking Archive: 2005
We invite comments on the following New York Stock Exchange, Inc. (NYSE) 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
Fourth Quarter | Third Quarter | Second Quarter | First Quarter
NYSE File Number List for 2005
Additional Archives
2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996
| Release No. |
Date |
Details |
| Fourth Quarter |
SR-NYSE-2005-78 |
| 34-53018 |
Dec. 23, 2005 |
Notice of Filing of Proposed Rule Change Relating to Amendments to New York Stock Exchange Rules 35 ("Floor Employees to be Registered") and 301 ("Proposed Transfer or Lease of Membership")
Comments due: January 19, 2006
See also: Order: Rel. No. 34-53848
|
SR-NYSE-2005-89 |
| 34-53014 |
Dec. 22, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot for NYSE Direct+® Until December 23, 2006
Comments due: January 19, 2006
|
SR-NYSE-2005-88 |
| 34-52974 |
Dec. 16, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Waiver of Initiation Fees Charged to New Lessee Members
Comments due: January 13, 2006
|
SR-NYSE-2005-38 |
| 34-52969 |
Dec. 16, 2005 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Rules 104 ("Dealings by Specialists") and 123E ("Specialist Combination Review Policy") to Change the Exchange's Capital Requirements for Specialist Organizations
Comments due: January 13, 2006
See also: Order: Rel. No. 34-54205
Comments received are available for this notice.
|
SR-NYSE-2005-73 |
| 34-52958 |
Dec. 15, 2005 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Rule 600, Relating to Arbitration
Comments due: January 12, 2006
|
SR-NYSE-2005-87 |
| 34-52954 |
Dec. 14, 2005 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Pilot to Put Into Operation Phase 1 of the NYSE HYBRID MARKETsm
Comments due: January 10, 2006
Comments received are available for this notice.
|
SR-NYSE-2004-39 |
| 34-52951 |
Dec. 14, 2005 |
Order Approving a Proposed Rule Change and Partial Amendment No. 1 to Amend Exchange Rule 431 (Margin Requirements)
See also: Notice: Rel. No. 34-52738
|
SR-NYSE-2005-84 |
| 34-52921 |
Dec. 7, 2005 |
Notice of Filing and 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
Comments due: January 5, 2006
|
SR-NYSE-2005-85 |
| 34-52915 |
Dec. 7, 2005 |
Notice of Filing and 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
Comments due: January 4, 2006
|
SR-NYSE-2005-83 |
| 34-52891 |
Dec. 5, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Amendments 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
Comments due: January 3, 2006
|
SR-NYSE-2005-82 |
| 34-52887 |
Dec. 5, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to a Pilot Program Relating to Minimum Numerical Standards in Section 102.01A of the Listed Company Manual
Comments due: January 3, 2006
|
SR-NYSE-2004-51 |
| 34-52850 |
Nov. 29, 2005 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to a Proposed Interpretation to Rule 342 (Offices – Approval, Supervision, and Control)
See also: Notice: Rel. No. 34-52640
|
SR-NYSE-2005-65 |
| 34-52843 |
Nov. 28, 2005 |
Order Granting Accelerated Approval of a Proposed Rule Change Regarding the Euro Currency Trust
See also: Notice: Rel. No. 34-52715
|
SR-NYSE-2005-50 |
| 34-52842 |
Nov. 28, 2005 |
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)
See also: Notice: Rel. No. 34-52475
|
SR-NYSE-2005-66 |
| 34-52838 |
Nov. 28, 2005 |
Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 thereto to Amend Rule 460 (Specialists Participating in Contests)
See also: Notice: Rel. No. 34-52688
|
SR-NYSE-2005-67 |
| 34-52826 |
Nov. 22, 2005 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to iShares® Dow Jones U.S. Energy Sector Index Fund and iShares Dow Jones U.S. Telecommunications Sector Index Fund
Comments due: December 21, 2005
|
SR-NYSE-2005-02 |
| 34-52822 |
Nov. 22, 2005 |
Order Approving Proposed Rule Change and Amendments Nos. 1, 2 and 3 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 4 to the Proposed Rule Change Relating to Exchange Rule 607
See also: Notice: Rel. No. 34-51863
Comments received are available for this notice.
|
SR-NYSE-2005-70 |
| 34-52816 |
Nov. 21, 2005 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to iShares® MSCI Index Funds
Comments due: December 20, 2005
|
SR-NYSE-2004-64 |
| 34-52780 |
Nov. 16, 2005 |
Order Approving Proposed Rule Change and Amendments Nos. 1 and 2 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 to the Proposed Rule Change Relating to Exchange Rule 342 ("Offices – Approval, Supervision and Control")
See also: Notice: Rel. No. 34-52259
Comments received are available for this notice.
|
SR-NYSE-2005-64 |
| 34-52768 |
Nov. 10, 2005 |
Order Approving Proposed Rule Change to Add Rules Regarding Time Tracking Requirements of Specialists and Specialist Organizations to its Minor Rule Violation Plan
See also: Notice: Rel. No. 34-52550
|
SR-NYSE-2005-76 |
| 34-52761 |
Nov. 10, 2005 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to iShares® Index Funds of iShares Trust and iShares, Inc.
Comments due: December 9, 2005
|
SR-NYSE-2005-75 |
| 34-52760 |
Nov. 10, 2005 |
Notice of Filing of Proposed Rule Change Relating to Section 802.01E of the Listed Company Manual
Comments due: December 7, 2005
See also: Order: Rel. No. 34-53152
Comments received are available for this notice.
|
SR-NYSE-2004-39 |
| 34-52738 |
Nov. 4, 2005 |
Notice of Filing of Proposed Rule Change and Partial Amendment No. 1 to Amend Exchange Rule 431 (Margin Requirements)
Comments due: December 1, 2005
See also: Order: Rel. No. 34-52951
|
SR-NYSE-2005-65 |
| 34-52715 |
Nov. 1, 2005 |
Notice of Filing of Proposed Rule Change Regarding the Euro Currency Trust
Comments due: November 25, 2005
See also: Order: Rel. No. 34-52843
|
SR-NYSE-2005-35 |
| 34-52696 |
Oct. 28, 2005 |
Order Approving a Proposed Rule Change Relating to Changes to Listed Company Manual Section 902.00 Regarding Listing Fees
See also: Notice: Rel. No. 34-52463
|
SR-NYSE-2005-66 |
| 34-52688 |
Oct. 27, 2005 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Amend Rule 460 (Specialists Participating in Contests)
Comments due: November 25, 2005
See also: Order: Rel. No. 34-52838
|
SR-NYSE-2005-17 |
| 34-52685 |
Oct. 26, 2005 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Amend NYSE Rule 472 (“Communications with the Public”)
Comments due: November 25, 2005
 Click to submit comments on SR-NYSE-2005-17
|
SR-NYSE-2005-62 |
| 34-52683 |
Oct. 26, 2005 |
Order Granting Approval to Proposed Rule Change Relating to Trade Shredding
See also: Notice: Rel. No. 34-52435
|
SR-NYSE-2005-71 |
| 34-52674 |
Oct. 25, 2005 |
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change to Establish Certain Fees with Respect to Transactions Executed through the Intermarket Trading System
Comments due: November 22, 2005
|
SR-NYSE-2005-63 |
| 34-52648 |
Oct. 21, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange’s Proposal to Place an Immediate Moratorium on the Qualification and Registration of New Competitive Traders and Registered Competitive Market Makers
Comments due: November 18, 2005
Comments received are available for this notice.
|
SR-NYSE-2004-51 |
| 34-52640 |
Oct. 19, 2005 |
Notice of Filing of Proposed Rule and Amendment No. 1 Thereto Relating to a Proposed Interpretation to Rule 342 (Offices – Approval, Supervision, and Control)
Comments due: November 15, 2005
See also: Order: Rel. No. 34-52850
|
SR-NYSE-2005-37 |
| 34-52638 |
Oct. 19, 2005 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to Certain Sections of the Exchange Constitution Concerning the Exchange’s Hearing Board and Related Amendments to Exchange Rule 475 and Rule 476
Comments due: November 16, 2005
See also: Order: Rel. No. 34-53124
|
SR-NYSE-2004-73 |
| 34-52579 |
Oct. 7, 2005 |
Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Amend NYSE Rule 440A Relating to Telephone Solicitation
See also: Notice: Rel. No. 34-52308
|
SR-NYSE-2005-61 |
| 34-52569 |
Oct. 6, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 2 Thereto Relating to an Interpretation of Exchange Rule 452
Comments due: November 4, 2005
|
SR-NYSE-2005-64 |
| 34-52550 |
Oct. 3, 2005 |
Notice of Filing of Proposed Rule Change to Add Rules Regarding Time Tracking Requirements of Specialists and Specialist Organizations to its Minor Rule Violation Plan
Comments due: October 28, 2005
See also: Order: Rel. No. 34-52768
|
| Third Quarter |
SR-NYSE-2005-13 |
| 34-52543 |
Sep. 30, 2005 |
Order Approving Proposed Rule Change Relating to the Proposed Uniform Branch Office Registration Form ("Form BR")
See also: Notice: Rel. No. 34-51923
|
SR-NYSE-2005-50 |
| 34-52475 |
Sep. 20, 2005 |
Notice of Filing of 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)
Comments due: October 19, 2005
See also: Order: Rel. No. 34-52842
|
SR-NYSE-2005-48 |
| 34-52468 |
Sep. 19, 2005 |
Notice of Filing of Proposed Rule Change to Provide for a 10-day Notice Requirement Before a Party Issues a Subpoena to a Non-Party for Pre-Hearing Discovery
Comments due: October 17, 2005
Click to submit comments on SR-NYSE-2005-48
|
SR-NYSE-2005-35 |
| 34-52463 |
Sep. 16, 2005 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Changes to Listed Company Manual Section 902.00 Regarding Listing Fees
Comments due: October 14, 2005
See also: Order: Rel. No. 34-52696
|
SR-NYSE-2005-62 |
| 34-52435 |
Sep. 14, 2005 |
Notice of Filing of Proposed Rule Change to Add Exchange Rule 123G Prohibiting Trade Shredding
Comments due: October 12, 2005
See also: Order: Rel. No. 34-52683
|
SR-NYSE-2005-54 |
| 34-52421 |
Sep. 14, 2005 |
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
See also: Notice: Rel. No. 34-52255
|
SR-NYSE-2002-34 |
| 34-52402 |
Sep. 9, 2005 |
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”
Comments due: October 7, 2005
|
SR-NYSE-2005-55 |
| 34-52396 |
Sep. 8, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Deletion of Superseded Corporate Governance Standards (Sections 303.00, 303.01, and 303.02 of the Listed Company Manual)
Comments due: October 5, 2005
|
SR-NYSE-2004-47 |
| 34-52391 |
Sep. 7, 2005 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Amend Rule 352 Concerning Guarantees and Sharing in Accounts
See also: Notice: Rel. No. 34-52179
|
SR-NYSE-2005-04 |
| 34-52386 |
Sep. 7, 2005 |
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 Principle Executive Officers
See also: Notice: Rel. No. 34-52181
|
SR-NYSE-2005-57 |
| 34-52362 |
Aug. 30, 2005 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Automating the Execution of Elected Stop Orders and CAP-DI Orders and Converted CAP-DI Orders
Comments due: September 30, 2005
Comments received are available for this notice.
|
SR-NYSE-2005-45 |
| 34-52328 |
Aug. 24, 2005 |
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
See also: Notice: Rel. No. 34-52051
|
SR-NYSE-2005-56 |
| 34-52316 |
Aug. 22, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Exchange Rule 629 ("Schedule of Fees") to Establish Processing Fees for Members, Member Organizations, and Allied Members That Are Parties to Arbitration Proceedings
Comments due: September 19, 2005
|
SR-NYSE-2005-43 |
| 34-52314 |
Aug. 22, 2005 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 thereto Relating to Amendments to NYSE Rule 607 Relating to the Classification of Arbitrators as Public or Industry
Comments due: September 19, 2005
See also: Order: Rel. No. 34-54407
Comments received are available for this notice.
|
SR-NYSE-2004-73 |
| 34-52308 |
Aug. 19, 2005 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Amend NYSE Rule 440A Relating to Telephone Solicitation
Comments due: September 15, 2005
See also: Order: Rel. No. 34-52579
|
SR-NYSE-2005-21 |
| 34-52274 |
Aug. 16, 2005 |
Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Temporary Reallocation of Securities Among Specialists
See also: Notice: Rel. No. 34-51985
|
SR-NYSE-2005-19 |
| 34-52269 |
Aug. 16, 2005 |
Order Approving Proposed Rule Change to Require Members that Use Appendix E to Calculate Net Capital to File Supplemental and Alternative Reports
See also: Notice: Rel. No. 34-51980
|
SR-NYSE-2004-64 |
| 34-52259 |
Aug. 15, 2005 |
Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 thereto Relating to Proposed Changes to Exchange Rule 342 ("Offices - Approval, Supervision and Control")
Comments due: September 12, 2005
See also: Order: Rel. No. 34-52780
Comments received are available for this notice.
|
SR-NYSE-2005-54 |
| 34-52255 |
Aug. 15, 2005 |
Notice of Filing of 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
Comments due: September 9, 2005
See also: Order: Rel. No. 34-52421
|
SR-NYSE-2005-47 |
| 34-52251 |
Aug. 12, 2005 |
Notice of Filing and 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
Comments due: September 9, 2005
|
SR-NYSE-2005-53 |
| 34-52188 |
Aug. 1, 2005 |
Notice of Filing and 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
Comments due: August 30, 2005
|
SR-NYSE-2005-16 |
| 34-52182 |
Aug. 1, 2005 |
Order Approving Proposed Rule Change to Rescind the "Nine-Bond Rule"
See also: Notice: Rel. No. 34-51899
|
SR-NYSE-2005-04 |
| 34-52181 |
Aug. 1, 2005 |
Notice of Filing of Proposed Rule Change, Amending Interpretation of NYSE 311 ("Formation and Approval of Member Organizations") to Codify Certain Qualification Requirements for and Criteria for Dual- or Multi-Designation of Principal Executive Officers
Comments due: August 26, 2005
See also: Order: Rel. No. 34-52386
|
SR-NYSE-2004-47 |
| 34-52179 |
Jul. 29, 2005 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Amend Rule 352 Concerning Guarantees and Sharing in Accounts
Comments due: August 26, 2005
See also: Order: Rel. No. 34-52391
|
SR-NYSE-2005-41 |
| 34-52178 |
Jul. 29, 2005 |
Notice of Filing and 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
Comments due: August 30, 2005
|
SR-NYSE-2005-49 |
| 34-52160 |
Jul. 28, 2005 |
Notice of Filing and 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
Comments due: August 25, 2005
|
SR-NYSE-2005-52 |
| 34-52155 |
Jul. 28, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Voluntary Supplemental Procedures for Selecting Arbitrators
Comments due: August 24, 2005
|
SR-NYSE-2005-51 |
| 34-52154 |
Jul. 28, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate the "All or None" and "Fill or Kill" Order Types in the Exchange's Equity Market
Comments due: August 25, 2005
Comments received are available for this notice.
|
SR-NYSE-2005-44 |
| 34-52081 |
Jul. 20, 2005 |
Notice of Filing and 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
Comments due: August 17, 2005
|
SR-NYSE-2005-45 |
| 34-52051 |
Jul. 18, 2005 |
Notice of Filing of 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, Replacing the Current Usage of the Dow Jones Industrial Average
Comments due: August 15, 2005
See also: Order: Rel. No. 34-52328
|
SR-NYSE-2002-19 |
| 34-52031 |
Jul. 14, 2005 |
Order Approving a Proposed Rule Change and Amendment Nos. 1, 2 and 3 Thereto Relating to Customer Portfolio and Cross-Margining Requirements
See also: Notices: Rel. Nos. 34-51615, 34-50885, 34-46576
|
SR-NYSE-2005-26 |
| 34-52026 |
Jul. 13, 2005 |
Order Granting Approval to Proposed Rule Change and Amendment No. 1 Thereto to Extend the Closing Time of Crossing Session II, and to Amend its 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.
See also: Notice: Rel. No. 34-51747
|
SR-NYSE-2005-39 |
| 34-52018 |
Jul. 12, 2005 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend NYSE Rule 440H Relating to Activity Assessment Fees
Comments due: August 9, 2005
|
SR-NYSE-2005-29 |
| 34-52016 |
Jul. 12, 2005 |
Order Granting Approval of a Proposed Rule Change to Remove Incorrect Reference in Its Rule Relating to Failure to Honor an Arbitration Award
See also: Notice: Rel. No. 34-51622
Comments received are available for this notice.
|
SR-NYSE-2004-69 |
| 34-51999 |
Jul. 8, 2005 |
Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto to Establish Rules for the Trading of Unlisted Debt Securities on the Exchange’s Automated Bond System
Comments due: August 15, 2005
See also: Order: Rel. No. 34-54767
Comments received are available for this notice.
|
SR-NYSE-2005-21 |
| 34-51985 |
Jul. 7, 2005 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Temporary Reallocation of Securities Among Specialists
Comments due: August 4, 2005
See also: Order: Rel. No. 34-52274
|
SR-NYSE-2005-19 |
| 34-51980 |
Jul. 6, 2005 |
Notice of Filing of Proposed Rule Change to Require Members that Use Appendix E to Calculate Net Capital to File Supplemental and Alternative Reports
Comments due: August 4, 2005
See also: Order: Rel. No. 34-52269
|
SR-NYSE-2004-62 |
| 34-51973 |
Jul. 5, 2005 |
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
See also: Notice: Rel. No. 34-51372
|
| Second Quarter |
SR-NYSE-2005-36 |
| 34-51934 |
Jun. 29, 2005 |
Notice of Filing of Proposed Rule Change to Amend Rule 445
Comments due: July 27, 2005
See also: Order: Rel. No. 34-53176
Comments received are available for this notice.
|
SR-NYSE-2005-32 |
| 34-51925 |
Jun. 24, 2005 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to NYSE OpenBook Exhibit C
Comments due: July 22, 2005
See also: Order: Rel. No. 34-53585 and
SR-NYSE-2004-43: Notice: Rel. No. 34-50275 and comments
Comments received are available for this notice.
|
SR-NYSE-2005-13 |
| 34-51923 |
Jun. 24, 2005 |
Notice of Filing of Proposed Rule Change Relating to Proposed Uniform Branch Office Form (“Form BR”)
Comments due: July 22, 2005
See also: Order: Rel. No. 34-52543
|
SR-NYSE-2004-13 |
| 34-51907 |
Jun. 22, 2005 |
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”)
See also: Notice: Rel. No. 34-50586
|
SR-NYSE-2004-05 |
| 34-51906 |
Jun. 22, 2005 |
Notice of Filing of Amendment No. 5 to a Proposed Rule Change Relating to Enhancements to the Exchange's Existing Automatic Execution Facility Pilot (NYSE Direct+)
Comments due: July 20, 2005
See also: Order: Rel. No. 34-53539;
Notice: Rel. No. 34-50667; Notice: Rel. No. 34-50277; Notice: Rel. No. 34-50173
Comments received are available for this notice.
Click to submit comments on SR-NYSE-2004-05
|
SR-NYSE-2005-16 |
| 34-51899 |
Jun. 22, 2005 |
Notice of Filing of Proposed Rule Change to Rescind the “Nine-Bond” Rule
See also: Order: Rel. No. 34-52182
|
SR-NYSE-2005-42 |
| 34-51872 |
Jun. 17, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Specialist Marketing and Investor Education Fee for Investment Company Units
Comments due: July 15, 2005
|
SR-NYSE-2005-02 |
| 34-51863 |
Jun. 16, 2005 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2 and 3 thereto Relating to Amendments to NYSE Rule 607
Comments due: July 14, 2005
See also: Order: Rel. No. 34-52822
Comments received are available for this notice.
|
SR-NYSE-2004-20 |
| 34-51813 |
Jun. 9, 2005 |
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
See also: Notice: Rel. No. 34-51332; Notice: Rel. No. 34-49917
|
SR-NYSE-2004-42 |
| 34-51790 |
Jun. 6, 2005 |
Order Approving a 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
See also: Notice: Rel. No. 34-51613
|
SR-NYSE-2004-49 |
| 34-51777 |
Jun. 2, 2005 |
Order Approving Proposed Rule Change and Amendment No. 3 Thereto Relating to Procedures for Companies that Fail to File Annual Reports in a Timely Manner
See also: Notice: Rel. No. 34-50982; Notice: Rel. No. 34-50452
|
SR-NYSE-2005-26 |
| 34-51747 |
May 26, 2005 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Extend the Closing Time of Crossing Session II and to Amend its 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.
See also: Order: Rel. No. 34-52026
Comments due: June 29, 2005
|
SR-NYSE-2005-31 |
| 34-51744 |
May 25, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Interpretation of Exchange Rules
Comments due: June 23, 2005
|
SR-NYSE-2004-57 |
| 34-51729 |
May 24, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendments No. 1 and No. 2 thereto Relating to Member Organization Increases in Arbitration Filing Fees and Member Organization Surcharges in Arbitration Claims filed by Customers
Comments due: June 21, 2005
|
SR-NYSE-2005-27 |
| 34-51706 |
May 18, 2005 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 2 Thereto Relating to the Listing of PIESsm Issued by Sierra Pacific Resources under Section 703.19
Comments due: June 15, 2005
|
SR-NYSE-2005-30 |
| 34-51695 |
May 13, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Reduction of Transaction Fees for Exchange-Listed Exchange Traded Funds
Comments due: June 13, 2005
|
SR-NYSE-2005-23 |
| 34-51665 |
May 6, 2005 |
Notice of Filing and 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)
Comments due: June 3, 2005
|
SR-NYSE-2005-15 |
| 34-51661 |
May 5, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendments Nos. 1 and 2 Thereto Relating to Elimination of Exchange Rules 499 and 501A
Comments due: June 1, 2005
|
SR-NYSE-2005-25 |
| 34-51644 |
May 2, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to an Exemption from the Research Analyst Qualification Examination for Certain Associated Persons Employed by Non-Member Foreign Affiliates Who Contribute to the Preparation of Member Research Reports
File No.: SR-NASD-2005-043
Comments due: May 27, 2005
|
SR-NYSE-2005-28 |
| 34-51628 |
Apr. 28, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to the Exchange’s Original Financial Listing Standards Pilot Program
Comments due: May 27, 2005
|
SR-NYSE-2005-29 |
| 34-51622 |
Apr. 27, 2005 |
Notice of Filing of a Proposed Rule Change to Remove Incorrect Reference in Its Rule Relating to Failure to Honor an Arbitration Award
See also: Order: Rel. No. 34-52016
Comments received are available for this notice.
|
SR-NYSE-2002-19 |
| 34-51615 |
Apr. 26, 2005 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2 and 3 Thereto Relating to Customer Portfolio and Cross-Margining Requirements
Comments due: May 24, 2005
See also: Order: Rel. No. 34-52031; Notice: Rel. No. 34-50885; Notice: Rel. No. 34-46576
|
SR-NYSE-2004-42 |
| 34-51613 |
Apr. 26, 2005 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Eliminate the Requirement that a Floor Official Approve Certain Transactions on the Exchange’s Automated Bond System
Comments due: May 23, 2005
See also: Order: Rel. No. 34-51790
Comments received are available for this notice.
|
SR-NYSE-2004-24 |
| 34-51593 |
Apr. 21, 2005 |
Order Approving Proposed Rule Changes to Prohibit Participation by a Research Analyst in a Road Show Related to an Investment Banking Services Transaction and to Require Certain Communications about an Investment Banking Services Transaction to Be Fair, Balanced and Not Misleading
File No.: SR-NASD-2004-141
See also: Notice: Rel. No. 34-50114 |
SR-NYSE-2004-71 |
| 34-51573 |
Apr. 19, 2005 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Amend NYSE Rule 104 Regarding the Requirement that Specialists Obtain Floor Official Approval for Destabilizing Dealer Account Transactions in ETFs
See also: Notice: Rel. No. 34-51329
|
SR-NYSE-2005-24 |
| 34-51545 |
Apr. 14, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Definition of Research Analyst in Rule 344 (Research Analysts and Supervisory Analysts) and Rule 472 (Communications with the Public)
Comments due: May 11, 2005
Comments received are available for this notice.
|
SR-NYSE-2004-59 |
| 34-51539 |
Apr. 13, 2005 |
Order Approving Proposed Rule Change to Adopt a New Rule (NYSE 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 NYSE Rule 476A
See also: Notice: Rel. No. 34-51276
|
SR-NYSE-2005-11 |
| 34-51477 |
Apr. 5, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Annual Membership Fees Payable by Electronic Access Members of the Exchange
Comments due: May 3, 2005
|
| First Quarter |
SR-NYSE-2005-20 |
| 34-51464 |
Mar. 31, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend for Additional Four Months its Pilot Program Permitting a Floor Broker to Use an Exchange Authorized and Provided Portable Telephone on the Exchange Floor
Comments due: April 28, 2005
|
SR-NYSE-2004-32 |
| 34-51438 |
Mar. 28, 2005 |
Order Approving a Proposed Rule Change and Amendment No. 1 Thereto Relating to NYSE Liquidity QuoteSM
See also: Notice: Rel. No. 34-50040
|
SR-NYSE-2005-14 |
| 34-51395 |
Mar. 18, 2005 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment Thereto Relating to Arbitration
Comments due: April 14, 2005
|
SR-NYSE-2004-62 |
| 34-51372 |
Mar. 15, 2005 |
Notice of Filing of Proposed Rule Change to Eliminate Rule 496 and to Amend the Listed Company Manual Relating to Transfer Agents
Comments due: April 13, 2005
See also: Order: Rel. No. 34-51973
Comments received are available for this notice.
|
SR-NYSE-2004-24 |
| 34-51358 |
Mar. 10, 2005 |
Notice of Filing of Proposed Rule Changes to Prohibit Participation by a Research Analyst in a Road Show Related to an Investment Banking Services Transaction and to Require Certain Communications About an Investment Banking Services Transaction to be Fair, Balanced and Not Misleading
File No.: SR-NASD-2004-141
Comments due: April 7, 2005
See also: Order: Rel. No. 34-51593
Comments received are available for this notice.
|
SR-NYSE-2004-20 |
| 34-51332 |
Mar. 8, 2005 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, 3, 4, 5, 6, and 7 thereto To Amend its Original and Continued Quantitative Listing Standards
[Correction]
Comments due: April 6, 2005
See also: Order: Rel. No. 34-51813; Notice: Rel. No. 34-49917
Comments received are available for this notice.
|
SR-NYSE-2004-71 |
| 34-51329 |
Mar. 8, 2005 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 to Amend NYSE Rule 104 Regarding the Requirement that Specialists Obtain Floor Official Approval for Destabilizing Dealer Account Transactions in ETFs
Comments due: April 5, 2005
See also: Order: Rel. No. 34-51573
|
SR-NYSE-2004-61 |
| 34-51319 |
Mar. 4, 2005 |
Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Rescind a Type of Order Known as an Institutional XPress® Order Through Amendments to Exchange Rules 13, 60 and 72
See also: Notice: Rel. No. 34-50912
|
SR-NYSE-2004-59 |
| 34-51276 |
Feb. 28, 2005 |
Notice of Filing of Proposed Rule Change to Adopt New Rule 401A (“Customer Complaints”), and an Amendment to Rule 476A ("Imposition of Fines for Minor Violations of Rules"), Adding Rule 401A to the List of Exchange Rule Violations and Fines Applicable Thereto Pursuant to Rule 476A
Comments due: March 28, 2005
See also: Order: Rel. No. 34-51539
|
SR-NYSE-2004-31 |
| 34-51273 |
Feb. 28, 2005 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing 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
See also: Notice: Rel. No. 34-50939
|
SR-NYSE-2005-07 |
| 34-51264 |
Feb. 25, 2005 |
Order Granting Approval of Proposed Rule Change Relating to NYSE Exchange Rules 440F and 440G
See also: Notice: Rel. No. 34-51054
|
SR-NYSE-2005-05 |
| 34-51249 |
Feb. 24, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Requirements for Listing Stock Index Warrants
Comments due: March 24, 2005
Comments received are available for this notice.
|
SR-NYSE-2005-12 |
| 34-51240 |
Feb. 23, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes by the National Association of Securities Dealers, Inc. to Provide an Exemption from the Research Analyst Qualification Examination for Certain Associated Persons Who Prepare Technical Research Reports and the New York Stock Exchange, Inc. Relating to an Alternative Qualification Standard for the Research Analyst Qualification Examination Requirement for Technical Analysts
File Nos.: SR-NASD-2005-022 and SR-NYSE-2005-12
Comments due: March 24, 2005
Comments received are available for this notice.
|
SR-NYSE-2004-54 |
| 34-51217 |
Feb. 16, 2005 |
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
See also: Notice: Rel. No. 34-51015
|
SR-NYSE-2005-06 |
| 34-51190 |
Feb. 11, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase Annual Fee to be Paid by Participants in the Medallion Guarantee Program
Comments due: March 16, 2005
|
SR-NYSE-2004-63 |
| 34-51188 |
Feb. 10, 2005 |
Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Amend Exchange Rules Relating to the Return of Membership Certificates, Notice and Return of Exchange-Issued Identification Cards, and Minor Violations of Rules
See also: Notice: Rel. No. 34-50942
|
SR-NYSE-2005-08 |
| 34-51104 |
Jan. 28, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to its Original Financial Listing Standards Pilot Program
Comments due: February 28, 2005
|
SR-NYSE-2005-01 |
| 34-51091 |
Jan. 28, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Two Crossing Sessions in the Exchange’s Off-Hours Trading Facility
Comments due: February 28, 2005
|
SR-NYSE-2005-10 |
| 34-51085 |
Jan. 27, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Relating to Voluntary Supplemental Procedures for Selecting Arbitrators
Comments due: February 24, 2005
|
SR-NYSE-2005-07 |
| 34-51054 |
Jan. 18, 2005 |
Notice of Filing of Proposed Rule Change Relating to Exchange 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”)
Comments due: February 16, 2005
See also: Order: Rel. No. 34-51264
|
SR-NYSE-2004-70 |
| 34-51048 |
Jan. 18, 2005 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Amend Exchange Rule 104 to Require Specialists to Yield Orally-Consummated Proprietary Trades to Later-Arriving System Orders
Comments due: February 18, 2005
See also: Notice/Order: Rel. No. 34-57312
Comments received are available for this notice.
|
SR-NYSE-2004-12 |
| 34-51039 |
Jan. 14, 2005 |
Notice of Extension of the Comment Period of Proposed Rule Changes Relating to the Prohibition of Certain Abuses in the Allocation and Distribution of Shares in Initial Public Offerings
File No.: SR-NASD-2003-140
Comments due: February 15, 2005
See also: Notice: Rel. No. 34-50896
Click to submit comments on SR-NYSE-2004-12
|
SR-NYSE-2004-54 |
| 34-51015 |
Jan. 11, 2005 |
Notice of Filing of Proposed Rule Change Relating to Amendments to the NYSE Constitution and the Adoption of an Independence Policy of the NYSE Board of Directors
Comments due: February 4, 2005
See also: Order: Rel. No. 34-51217
|
SR-NYSE-2004-49 |
| 34-50982 |
Jan. 6, 2005 |
Notice of Filing of Amendment No. 3 to Proposed Rule Change Relating to Procedures for Companies that Fail to File Annual Reports in a Timely Manner
Comments due: February 4, 2005
See also: Order: Rel. No. 34-51777; Notice: Rel. No. 34-50452
Comments received are available for this notice.
|
SR-NYSE-2004-72 |
| 34-50957 |
Jan. 4, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Effective Date of Amendments, Approved Pursuant to File No. 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 National Association of Securities Dealers, Inc. (“NASD”)
Comments due: February 1, 2005
|
| Release No. |
Date |
Details |
SR-NYSE-2005-93 |
| 34-54125 |
Jul. 11, 2006 |
Order Approving a Proposed Rule Change to Rule 431 ("Margin Requirements") and Rule 726 ("Delivery of Options Disclosure Document and Prospectus") to Expand the Products Eligible for Customer Portfolio Margining and Cross-Margining Pilot Program
|
| 34-53126 |
Jan. 13, 2006 |
Notice of Filing of Proposed Rule Change to Rule 431 ("Margin Requirements") and Rule 726 ("Delivery of Options Disclosure Document and Prospectus") to Expand the Products Eligible for Customer Portfolio Margining and Cross-Margining
Comments due: February 13, 2006
Comments received are available for this notice.
|
SR-NYSE-2005-92 |
| 34-53235 |
Feb. 6, 2006 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Increasing Certain Fees Charged by the Exchange to Its Members and Member Organizations
Comments due: March 7, 2006
|
SR-NYSE-2005-91 |
| 34-53071 |
Jan. 6, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise Certain of the Exchange’s Facility and Equipment Fees and System Processing Fees Charged to Members
Comments due: February 3, 2006
|
SR-NYSE-2005-90 |
| 34-54810A |
Dec. 8, 2006 |
Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Thereto to Allow Certain Institutional Customers to Elect Not to Receive Account Statements (CORRECTION)
Comments due: January 8, 2007
Comments received are available for this notice.
|
| 34-54810 |
Nov. 22, 2006 |
Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Thereto to Allow Certain Institutional Customers to Elect Not to Receive Account Statements
Comments due: 21 days after publication in the Federal Register
Comments received are available for this notice.
|
| 34-53826 |
May 18, 2006 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 to Allow Certain Institutional Customers to Elect Not to Receive Account Statements
Comments due: 21 days after publication in the Federal Register
|
SR-NYSE-2005-89 |
| 34-53014 |
Dec. 22, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot for NYSE Direct+® Until December 23, 2006
Comments due: January 19, 2006
|
SR-NYSE-2005-88 |
| 34-52974 |
Dec. 16, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Waiver of Initiation Fees Charged to New Lessee Members
Comments due: January 13, 2006
|
SR-NYSE-2005-87 |
| 34-52954 |
Dec. 14, 2005 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Pilot to Put Into Operation Phase 1 of the NYSE HYBRID MARKETsm
Comments due: January 10, 2006
Comments received are available for this notice.
|
SR-NYSE-2005-86 |
| 34-53565 |
Mar. 29, 2006 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Conform NYSE Rules 123C and 476A with NYSE Rule 80A
|
| 34-53327 |
Feb. 16, 2006 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Conform NYSE Rules 123C and 476A with NYSE Rule 80A
Comments due: March 17, 2006
|
SR-NYSE-2005-85 |
| 34-52915 |
Dec. 7, 2005 |
Notice of Filing and 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
Comments due: January 4, 2006
|
SR-NYSE-2005-84 |
| 34-52921 |
Dec. 7, 2005 |
Notice of Filing and 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
Comments due: January 5, 2006
|
SR-NYSE-2005-83 |
| 34-52891 |
Dec. 5, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Amendments 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
Comments due: January 3, 2006
|
SR-NYSE-2005-82 |
| 34-52887 |
Dec. 5, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to a Pilot Program Relating to Minimum Numerical Standards in Section 102.01A of the Listed Company Manual
Comments due: January 3, 2006
|
SR-NYSE-2005-80 |
| 34-53213 |
Feb. 2, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to NYSE Rule 36, RCMMs’ Ability to Use Exchange Authorized and Issued Portable Phones on the NYSE Floor
Comments due: March 3, 2006
|
SR-NYSE-2005-78 |
| 34-53848 |
May 19, 2006 |
Order Approving a Proposed Rule Change Relating to Amendments to New York Stock Exchange Rules 35 ("Floor Employees to be Registered") and 301 ("Proposed Transfer or Lease of Membership")
|
| 34-53018 |
Dec. 23, 2005 |
Notice of Filing of Proposed Rule Change Relating to Amendments to New York Stock Exchange Rules 35 ("Floor Employees to be Registered") and 301 ("Proposed Transfer or Lease of Membership")
Comments due: January 19, 2006
|
SR-NYSE-2005-77 |
| 34-53382 |
Feb. 27, 2006 |
Order Granting Approval of Proposed Rule Change and Amendment Nos. 1, 3, and 5 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 6 and 8 Relating to the NYSE's Business Combination with Archipelago Holdings, Inc.
Comments due: March 27, 2006
Additional Materials: Amendment 6, Amendment 8, Amendment 8, Exhibit 5
|
| 34-53073 |
Jan. 6, 2006 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, 3, 4 and 5 Relating the Exchange’s Business Combination with Archipelago Holdings, Inc.
Comments due: February 2, 2006
See also: Order: Rel. No. 34-53382
Comments received are available for this notice.
Additional Materials: Amendment 5, Exhibit 5A, Exhibit 5B, Exhibit 5C, Exhibit 5D, Exhibit 5E, Exhibit 5F, Exhibit 5G, Exhibit 5H, Exhibit 5I, Exhibit 5J, Exhibit 5K
|
SR-NYSE-2005-76 |
| 34-52761 |
Nov. 10, 2005 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to iShares® Index Funds of iShares Trust and iShares, Inc.
Comments due: December 9, 2005
|
SR-NYSE-2005-75 |
| 34-53152 |
Jan. 19, 2006 |
Order Granting Approval to a Proposed Rule Change Relating to Section 802.01E of the Listed Company Manual Concerning Continued Listing of Companies that Fail to File Their Securities Exchange Act of 1934 Annual Reports in a Timely Manner
Comments received are available for this notice.
|
| 34-52760 |
Nov. 10, 2005 |
Notice of Filing of Proposed Rule Change Relating to Section 802.01E of the Listed Company Manual
Comments due: December 7, 2005
Comments received are available for this notice.
|
SR-NYSE-2005-74 |
| 34-53208 |
Feb. 2, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to an Interpretation of Exchange Rule 108(a)
Comments due: March 2, 2006
Comments received are available for this notice.
|
SR-NYSE-2005-73 |
| 34-52958 |
Dec. 15, 2005 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Rule 600, Relating to Arbitration
Comments due: January 12, 2006
|
SR-NYSE-2005-72 |
| 34-53685 |
Apr. 20, 2006 |
Order Granting Approval of a Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 2 Thereto to Amend Exchange Delisting Rules to Conform to Recent Amendments to Commission Rules Regarding Removal from Listing and Withdrawal from Registration
Comments due: May 18, 2006
|
| 34-53494 |
Mar. 16, 2006 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Amending Exchange Delisting Rules to Conform to Recent Amendments to Commission Rules Regarding Removal from Listing and Withdrawal from Registration
Comments due: April 11, 2006
|
SR-NYSE-2005-71 |
| 34-52674 |
Oct. 25, 2005 |
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change to Establish Certain Fees with Respect to Transactions Executed through the Intermarket Trading System
Comments due: November 22, 2005
|
SR-NYSE-2005-70 |
| 34-52816 |
Nov. 21, 2005 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to iShares® MSCI Index Funds
Comments due: December 20, 2005
|
SR-NYSE-2005-68 |
| 34-54344 |
Aug. 21, 2006 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto, and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3, Relating to Annual Financial Statement Distribution Requirements and Listed Company Manual Sections 103.00, 202.05, 203.00, 203.01, 203.02, 203.03, 204.00 through .33, 303A.14, 313.00, 401.04, and 703.09
Comments due: September 19, 2006
Comments received are available for this notice.
|
| 34-54029 |
Jun. 21, 2006 |
Notice of Filing of Proposed Rule Change Relating to Annual Financial Statement Distribution Requirements and Listed Company Manual Sections 103.00, 203.00, 203.01, 203.02, 203.03, 204.00 through .33, 303A.14, 313.00, 401.04, and 703.09
Comments due: July 20, 2006
Comments received are available for this notice.
|
SR-NYSE-2005-67 |
| 34-52826 |
Nov. 22, 2005 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to iShares® Dow Jones U.S. Energy Sector Index Fund and iShares Dow Jones U.S. Telecommunications Sector Index Fund
Comments due: December 21, 2005
Comments received are available for this notice.
|
SR-NYSE-2005-66 |
| 34-52838 |
Nov. 28, 2005 |
Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 thereto to Amend Rule 460 (Specialists Participating in Contests)
|
| 34-52688 |
Oct. 27, 2005 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Amend Rule 460 (Specialists Participating in Contests)
Comments due: November 25, 2005
|
SR-NYSE-2005-65 |
| 34-52843 |
Nov. 28, 2005 |
Order Granting Accelerated Approval of a Proposed Rule Change Regarding the Euro Currency Trust
|
| 34-52715 |
Nov. 1, 2005 |
Notice of Filing of Proposed Rule Change Regarding the Euro Currency Trust
Comments due: November 25, 2005
|
SR-NYSE-2005-64 |
| 34-52768 |
Nov. 10, 2005 |
Order Approving Proposed Rule Change to Add Rules Regarding Time Tracking Requirements of Specialists and Specialist Organizations to its Minor Rule Violation Plan
|
| 34-52550 |
Oct. 3, 2005 |
Notice of Filing of Proposed Rule Change to Add Rules Regarding Time Tracking Requirements of Specialists and Specialist Organizations to its Minor Rule Violation Plan
Comments due: October 28, 2005
|
SR-NYSE-2005-63 |
| 34-52648 |
Oct. 21, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange’s Proposal to Place an Immediate Moratorium on the Qualification and Registration of New Competitive Traders and Registered Competitive Market Makers
Comments due: November 18, 2005
Comments received are available for this notice.
|
SR-NYSE-2005-62 |
| 34-52683 |
Oct. 26, 2005 |
Order Granting Approval to Proposed Rule Change Relating to Trade Shredding
|
| 34-52435 |
Sep. 14, 2005 |
Notice of Filing of Proposed Rule Change to Add Exchange Rule 123G Prohibiting Trade Shredding
Comments due: October 12, 2005
|
SR-NYSE-2005-61 |
| 34-52569 |
Oct. 6, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 2 Thereto Relating to an Interpretation of Exchange Rule 452
Comments due: November 4, 2005
|
SR-NYSE-2005-60 |
| 34-53983 |
Jun. 14, 2006 |
Order Approving Proposed Rule Change and Amendment Nos. 2 and 3 Thereto Relating to Proposed New Rules 342.24 ("Annual Branch Office Inspection") and 342.25 ("Risk-Based Surveillance and Branch Office Identification") to Permit Member Organizations to Classify Appropriate Branch Offices for Cyclical Inspections and Proposed New Rule 342.26 ("Criteria for Inspection Programs")
|
| 34-53689 |
Apr. 20, 2006 |
Notice of Filing of Proposed Rule Change and Amendment No. 2 Thereto Relating to Proposed New Rules 342.24 ("Annual Branch Office Inspection") and 342.25 ("Risk-Based Surveillance and Branch Office Identification") to Permit Member Organizations to Classify Appropriate Branch Offices for Cyclical Inspections and Proposed New Rule 342.26 ("Criteria for Inspection Programs")
Comments due: May 18, 2006
|
SR-NYSE-2005-58 |
| 34-54368 |
Aug. 25, 2006 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to Exchange Rule 312(f) Regarding Changes Within Member Organizations
|
| 34-53840 |
May 19, 2006 |
Notice of Filing of Proposed Rule Change Relating to Exchange Rule 312(f) Regarding Changes Within Member Organizations
Comments due: June 16, 2006
Comments received are available for this notice.
|
SR-NYSE-2005-57 |
| 34-52362 |
Aug. 30, 2005 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Automating the Execution of Elected Stop Orders and CAP-DI Orders and Converted CAP-DI Orders
Comments due: September 30, 2005
Comments received are available for this notice.
|
SR-NYSE-2005-56 |
| 34-52316 |
Aug. 22, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Exchange Rule 629 ("Schedule of Fees") to Establish Processing Fees for Members, Member Organizations, and Allied Members That Are Parties to Arbitration Proceedings
Comments due: September 19, 2005
|
SR-NYSE-2005-55 |
| 34-52396 |
Sep. 8, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Deletion of Superseded Corporate Governance Standards (Sections 303.00, 303.01, and 303.02 of the Listed Company Manual)
Comments due: October 5, 2005
|
SR-NYSE-2005-54 |
| 34-52421 |
Sep. 14, 2005 |
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
|
| 34-52255 |
Aug. 15, 2005 |
Notice of Filing of 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
Comments due: September 9, 2005
|
SR-NYSE-2005-53 |
| 34-52188 |
Aug. 1, 2005 |
Notice of Filing and 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
Comments due: August 30, 2005
|
SR-NYSE-2005-52 |
| 34-52155 |
Jul. 28, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Voluntary Supplemental Procedures for Selecting Arbitrators
Comments due: August 24, 2005
|
SR-NYSE-2005-51 |
| 34-52154 |
Jul. 28, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate the "All or None" and "Fill or Kill" Order Types in the Exchange's Equity Market
Comments due: August 25, 2005
Comments received are available for this notice.
|
SR-NYSE-2005-50 |
| 34-52842 |
Nov. 28, 2005 |
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)
|
| 34-52475 |
Sep. 20, 2005 |
Notice of Filing of 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)
Comments due: October 19, 2005
|
SR-NYSE-2005-49 |
| 34-52160 |
Jul. 28, 2005 |
Notice of Filing and 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
Comments due: August 25, 2005
|
SR-NYSE-2005-48 |
| 34-56158 |
Jul. 27, 2007 |
Order Approving Proposed Rule Change as Modified by Amendment Nos. 1, 2, 3, and 4 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 5 to Revise Rule 619 Pertaining to Subpoenas for the Production of Documents and Appearances of Witnesses
Comments due: August 23, 2007
|
| 34-55594 |
Apr. 6, 2007 |
Notice of Filing of Amendments No. 1, 2, 3, and 4 Thereto to Proposed Rule Change to Amend Rule 619 Pertaining to Subpoenas for the Production of Documents and Appearances of Witnesses
Comments due: May 4, 2007
Comments received are available for this notice.
|
SR-NYSE-2005-48 |
| 34-52468 |
Sep. 19, 2005 |
Notice of Filing of Proposed Rule Change to Provide for a 10-day Notice Requirement Before a Party Issues a Subpoena to a Non-Party for Pre-Hearing Discovery
Comments due: October 17, 2005
Click to submit comments on SR-NYSE-2005-48
|
SR-NYSE-2005-47 |
| 34-52251 |
Aug. 12, 2005 |
Notice of Filing and 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
Comments due: September 9, 2005
|
SR-NYSE-2005-45 |
| 34-52328 |
Aug. 24, 2005 |
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
|
| 34-52051 |
Jul. 18, 2005 |
Notice of Filing of 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, Replacing the Current Usage of the Dow Jones Industrial Average
Comments due: August 15, 2005
|
SR-NYSE-2005-44 |
| 34-52081 |
Jul. 20, 2005 |
Notice of Filing and 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
Comments due: August 17, 2005
|
SR-NYSE-2005-43 |
| 34-54407 |
Sep. 6, 2006 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Rule 607 Relating to the Classification of Arbitrators as Public or Industry
Comments received are available for this notice.
|
| 34-52314 |
Aug. 22, 2005 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 thereto Relating to Amendments to NYSE Rule 607 Relating to the Classification of Arbitrators as Public or Industry
Comments due: September 19, 2005
Comments received are available for this notice.
|
SR-NYSE-2005-42 |
| 34-51872 |
Jun. 17, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Specialist Marketing and Investor Education Fee for Investment Company Units
Comments due: July 15, 2005
|
SR-NYSE-2005-41 |
| 34-52178 |
Jul. 29, 2005 |
Notice of Filing and 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
Comments due: August 30, 2005
|
SR-NYSE-2005-40 |
| 34-53602 |
Apr. 5, 2006 |
Notice of Filing of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Amendments to the Exchange's Allocation Policy and Procedures (NYSE Rules 103A, 103B, 123E and 476A)
Comments due: May 3, 2006
Additional Materials: Amendment 2, Exhibit 5
Submit comments on SR-NYSE-2005-40
|
SR-NYSE-2005-39 |
| 34-52018 |
Jul. 12, 2005 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend NYSE Rule 440H Relating to Activity Assessment Fees
Comments due: August 9, 2005
|
SR-NYSE-2005-38 |
| 34-54205 |
Jul. 25, 2006 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Rules 104 (“Dealings by Specialists”) and 123E (“Specialist Combination Review Policy”) to Change the Exchange’s Capital Requirements for Specialist Organizations
|
| 34-52969 |
Dec. 16, 2005 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Rules 104 ("Dealings by Specialists") and 123E ("Specialist Combination Review Policy") to Change the Exchange's Capital Requirements for Specialist Organizations
Comments due: January 13, 2006
Comments received are available for this notice.
|
SR-NYSE-2005-37 |
| 34-53124 |
Jan. 13, 2006 |
Order Approving a Proposed Rule Change and Amendments No. 1 and 2 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 Thereto Relating to Amendments to Certain Sections of the Exchange Constitution Concerning the Exchange's Hearing Board and Related Amendments to Exchange Rule 475 and Rule 476
|
| 34-52638 |
Oct. 19, 2005 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to Certain Sections of the Exchange Constitution Concerning the Exchange’s Hearing Board and Related Amendments to Exchange Rule 475 and Rule 476
Comments due: November 16, 2005
|
SR-NYSE-2005-36 |
| 34-53176 |
Jan. 25, 2006 |
Order Approving Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 to the Proposed Rule Change to Amend Rule 445
Comments received are available for this notice.
|
| 34-51934 |
Jun. 29, 2005 |
Notice of Filing of Proposed Rule Change to Amend Rule 445
Comments due: July 27, 2005
Comments received are available for this notice.
|
SR-NYSE-2005-35 |
| 34-52696 |
Oct. 28, 2005 |
Order Approving a Proposed Rule Change Relating to Changes to Listed Company Manual Section 902.00 Regarding Listing Fees
|
| 34-52463 |
Sep. 16, 2005 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Changes to Listed Company Manual Section 902.00 Regarding Listing Fees
Comments due: October 14, 2005
|
SR-NYSE-2005-32 |
| 34-53585 |
Mar. 31, 2006 |
Order Approving Proposed Rule Change Relating to the Real-Time NYSE OpenBook® Service and OpenBook® Fees and Order Approving Proposed Rule Change Relating to the Contract Terms Governing Vendor Displays of NYSE OpenBook® Data, and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 2 Thereto
Comments due: April 28, 2006
Additional File Nos.: SR-NYSE-2004-43
See also: SR-NYSE-2005-32: Notice: Rel. No. 34-51925 and comments
SR-NYSE-2004-43: Notice: Rel. No. 34-50275 and comments
|
| 34-51925 |
Jun. 24, 2005 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to NYSE OpenBook Exhibit C
Comments due: July 22, 2005
See also: Order: Rel. No. 34-53585;
Comments received are available for this notice.
|
SR-NYSE-2005-31 |
| 34-51744 |
May 25, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Interpretation of Exchange Rules
Comments due: June 23, 2005
|
SR-NYSE-2005-30 |
| 34-51695 |
May 13, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Reduction of Transaction Fees for Exchange-Listed Exchange Traded Funds
Comments due: June 13, 2005
|
SR-NYSE-2005-29 |
| 34-52016 |
Jul. 12, 2005 |
Order Granting Approval of a Proposed Rule Change to Remove Incorrect Reference in Its Rule Relating to Failure to Honor an Arbitration Award
See also: Notice: Rel. No. 34-51622
Comments received are available for this notice.
|
| 34-51622 |
Apr. 27, 2005 |
Notice of Filing of a Proposed Rule Change to Remove Incorrect Reference in Its Rule Relating to Failure to Honor an Arbitration Award
Comments received are available for this notice.
|
SR-NYSE-2005-28 |
| 34-51628 |
Apr. 28, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to the Exchange’s Original Financial Listing Standards Pilot Program
Comments due: May 27, 2005
|
SR-NYSE-2005-27 |
| 34-51706 |
May 18, 2005 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 2 Thereto Relating to the Listing of PIESsm Issued by Sierra Pacific Resources under Section 703.19
Comments due: June 15, 2005
|
SR-NYSE-2005-26 |
| 34-52026 |
Jul. 13, 2005 |
Order Granting Approval to Proposed Rule Change and Amendment No. 1 Thereto to Extend the Closing Time of Crossing Session II, and to Amend its 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.
Comments due: 21 days after publication in the Federal Register
|
| 34-51747 |
May 26, 2005 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Extend the Closing Time of Crossing Session II and to Amend its 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.
|
SR-NYSE-2005-25 |
| 34-51644 |
May 2, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to an Exemption from the Research Analyst Qualification Examination for Certain Associated Persons Employed by Non-Member Foreign Affiliates Who Contribute to the Preparation of Member Research Reports
File No.: SR-NASD-2005-043
Comments due: May 27, 2005
|
SR-NYSE-2005-24 |
| 34-51545 |
Apr. 14, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Definition of Research Analyst in Rule 344 (Research Analysts and Supervisory Analysts) and Rule 472 (Communications with the Public)
Comments due: May 11, 2005
Comments received are available for this notice.
|
SR-NYSE-2005-23 |
| 34-51665 |
May 6, 2005 |
Notice of Filing and 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)
Comments due: June 3, 2005
|
SR-NYSE-2005-21 |
| 34-52274 |
Aug. 16, 2005 |
Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Temporary Reallocation of Securities Among Specialists
|
| 34-51985 |
Jul. 7, 2005 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Temporary Reallocation of Securities Among Specialists
Comments due: August 4, 2005
|
SR-NYSE-2005-20 |
| 34-51464 |
Mar. 31, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend for Additional Four Months its Pilot Program Permitting a Floor Broker to Use an Exchange Authorized and Provided Portable Telephone on the Exchange Floor
Comments due: April 28, 2005
|
SR-NYSE-2005-19 |
| 34-52269 |
Aug. 16, 2005 |
Order Approving Proposed Rule Change to Require Members that Use Appendix E to Calculate Net Capital to File Supplemental and Alternative Reports
|
| 34-51980 |
Jul. 6, 2005 |
Notice of Filing of Proposed Rule Change to Require Members that Use Appendix E to Calculate Net Capital to File Supplemental and Alternative Reports
Comments due: August 4, 2005
|
SR-NYSE-2005-18 |
| 34-54320 |
Aug. 15, 2006 |
Order Approving Proposed Rule Change and Amendments No. 1 and 2 Thereto Regarding NYSE Rule 619 to Clarify That Failure to Appear or Produce Documents in Arbitration May Be Deemed Conduct Inconsistent with Just and Equitable Principles of Trade
|
| 34-53599 |
Apr. 4, 2006 |
Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 Thereto to Amend NYSE Rule 619 to Clarify That Failure to Appear or Produce Documents in Arbitration May Be Deemed Conduct Inconsistent with Just and Equitable Principles of Trade
Comments due: May 2, 2006
Comments received are available for this notice.
|
SR-NYSE-2005-17 |
| 34-52685 |
Oct. 26, 2005 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Amend NYSE Rule 472 (“Communications with the Public”)
Comments due: November 25, 2005
Click to submit comments on SR-NYSE-2005-17
|
SR-NYSE-2005-16 |
| 34-52182 |
Aug. 1, 2005 |
Order Approving Proposed Rule Change to Rescind the "Nine-Bond Rule"
|
| 34-51899 |
Jun. 22, 2005 |
Notice of Filing of Proposed Rule Change to Rescind the “Nine-Bond” Rule
|
SR-NYSE-2005-15 |
| 34-51661 |
May 5, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendments Nos. 1 and 2 Thereto Relating to Elimination of Exchange Rules 499 and 501A
Comments due: June 1, 2005
|
SR-NYSE-2005-14 |
| 34-51395 |
Mar. 18, 2005 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment Thereto Relating to Arbitration
Comments due: April 14, 2005
|
SR-NYSE-2005-13 |
| 34-52543 |
Sep. 30, 2005 |
Order Approving Proposed Rule Change Relating to the Proposed Uniform Branch Office Registration Form ("Form BR")
|
| 34-51923 |
Jun. 24, 2005 |
Notice of Filing of Proposed Rule Change Relating to Proposed Uniform Branch Office Form (“Form BR”)
Comments due: July 22, 2005
|
SR-NYSE-2005-12 |
| 34-51240 |
Feb. 23, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes by the National Association of Securities Dealers, Inc. to Provide an Exemption from the Research Analyst Qualification Examination for Certain Associated Persons Who Prepare Technical Research Reports and the New York Stock Exchange, Inc. Relating to an Alternative Qualification Standard for the Research Analyst Qualification Examination Requirement for Technical Analysts
File Nos.: SR-NASD-2005-022 and SR-NYSE-2005-12
Comments due: March 24, 2005
Comments received are available for this notice.
|
SR-NYSE-2005-11 |
| 34-51477 |
Apr. 5, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Annual Membership Fees Payable by Electronic Access Members of the Exchange
Comments due: May 3, 2005
|
SR-NYSE-2005-10 |
| 34-51085 |
Jan. 27, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Relating to Voluntary Supplemental Procedures for Selecting Arbitrators
Comments due: February 24, 2005
|
SR-NYSE-2005-09 |
| 34-54904 |
Dec. 8, 2006 |
Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Rule 409 Regarding Statements of Accounts to Customers and Proposed New Rule 409A Regarding SIPC Disclosure
|
| 34-54491 |
Sep. 22, 2006 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Rule 409 Regarding Statements of Accounts to Customers and Proposed New Rule 409A Regarding SIPC Disclosure
Comments due: October 23, 2006
|
SR-NYSE-2005-08 |
| 34-51104 |
Jan. 28, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to its Original Financial Listing Standards Pilot Program
Comments due: February 28, 2005
|
SR-NYSE-2005-07 |
| 34-51264 |
Feb. 25, 2005 |
Order Granting Approval of Proposed Rule Change Relating to NYSE Exchange Rules 440F and 440G
|
| 34-51054 |
Jan. 18, 2005 |
Notice of Filing of Proposed Rule Change Relating to Exchange 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”)
Comments due: February 16, 2005
|
SR-NYSE-2005-06 |
| 34-51190 |
Feb. 11, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase Annual Fee to be Paid by Participants in the Medallion Guarantee Program
Comments due: March 16, 2005
|
SR-NYSE-2005-05 |
| 34-51249 |
Feb. 24, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Requirements for Listing Stock Index Warrants
Comments due: March 24, 2005
Comments received are available for this notice.
|
SR-NYSE-2005-04 |
| 34-52386 |
Sep. 7, 2005 |
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 Principle Executive Officers
|
| 34-52181 |
Aug. 1, 2005 |
Notice of Filing of Proposed Rule Change, Amending Interpretation of NYSE 311 ("Formation and Approval of Member Organizations") to Codify Certain Qualification Requirements for and Criteria for Dual- or Multi-Designation of Principal Executive Officers
Comments due: August 26, 2005
|
SR-NYSE-2005-03 |
| 34-55559 |
Mar. 29, 2007 |
Notice of Filing of Amendment No. 3 to and Order Granting Accelerated Approval of Proposed Rule Change, as Amended Related to Exchange Rule 325 (Capital Requirements for Member Organizations) and Rule 326 (Growth Capital Requirement, Business Reduction Capital Requirement, Unsecured Loans and Advances)
Comments due: April 26, 2007
|
| 34-54255 |
Jul. 31, 2006 |
Notice of Filing of Proposed Rule Change and Amendments Nos. 1 and 2 to Amend Exchange Rule 325 (Capital Requirements for Member Organizations), Rule 326 (Growth Capital Requirement, Business Reduction Capital Requirement, Unsecured Loans and Advances), and Rule 431 (Margin Requirement)
Comments due: August 29, 2006
Comments received are available for this notice.
|
SR-NYSE-2005-02 |
| 34-52822 |
Nov. 22, 2005 |
Order Approving Proposed Rule Change and Amendments Nos. 1, 2 and 3 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 4 to the Proposed Rule Change Relating to Exchange Rule 607
|
| 34-51863 |
Jun. 16, 2005 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2 and 3 thereto Relating to Amendments to NYSE Rule 607
Comments due: July 14, 2005
Comments received are available for this notice.
|
SR-NYSE-2005-01 |
| 34-51091 |
Jan. 28, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Two Crossing Sessions in the Exchange’s Off-Hours Trading Facility
Comments due: February 28, 2005
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http://www.sec.gov/rules/sro/nyse/nysearchive/nysearchive2005.shtml
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