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NYSE Rulemaking Archive: 2007
We invite comments on the following New York Stock Exchange LLC (NYSE; formerly New York Stock Exchange, Inc.) 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 2007
Additional Archives
2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996
Release No. |
Date |
Details |
Fourth Quarter |
SR-NYSE-2007-125 |
34-57072 |
Dec. 31, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Rule 107A (Registered Competitive Market Makers) and Exchange Rule 110 (Competitive Traders)
Comments due: January 28, 2008
|
SR-NYSE-2007-119 |
34-57065 |
Dec. 28, 2007 |
Notice of Filing of Proposed Rule Change Relating to the Adoption of New Exchange Rule 309 (Failure to Pay Fees)
Comments due: January 28, 2008
See also: Order: Rel. No. 34-57305
|
SR-NYSE-2007-123 |
34-57063 |
Dec. 28, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 1000 (Automatic Execution of Limit Orders Against Orders Reflected in NYSE Published Quotation)
Comments due: January 28, 2008
|
SR-NYSE-2007-122 |
34-57062 |
Dec. 28, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Changes to Extend the Deadline until March 31, 2008 for Issuers to Become Compliant with Listing Requirements Concerning Direct Registration Programs
Comments due: January 25, 2008
Additional File Nos.: SR-NASDAQ-2007-101; SR-Amex-2007-142; and SR-NYSEArca-2007-131
|
SR-NYSE-2007-113 |
34-57061 |
Dec. 28, 2007 |
Notice of Filing of Proposed Rule Change to Amend Annual Fees Applicable to Groups of Real Estate Investment Trusts Under Common External Management
Comments due: January 25, 2008
See also: Order: Rel. No. 34-57291
|
SR-NYSE-2007-102 |
34-57058 |
Dec. 28, 2007 |
Order Approving Proposed Rule Change, As Modified by Amendment No. 1 Thereto, Relating to NYSE Rule 1500 (NYSE MatchPointSM)
See also: Notice: Rel. No. 34-56798
|
SR-NYSE-2007-118 |
34-57046 |
Dec. 27, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Rule 409(f)
Comments due: January 24, 2008
Comments received are available for this notice.
|
SR-NYSE-2007-99 |
34-57041 |
Dec. 26, 2007 |
Order Granting Approval to Proposed Rule Change to Permit Issuers of Index-Linked Securities to Submit a Letter From the Issuer's Authorized Executive Officer Rather Than Provide a Certified Copy of the Resolution Adopted By the Issuers' Board of Directors, When the Issuers Are Voluntarily Delisting the Securities From the Exchange and Transferring the Listing to Another National Securities Exchange
See also: Notice: Rel. No. 34-56812
|
SR-NYSE-2007-117 |
34-57035 |
Dec. 21, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a New Non-Regulatory Trading Halt Condition Under Rule 123D Designated as "Investment Company Units or Index-Linked Securities"
Comments due: January 22, 2008
|
SR-NYSE-2007-108 |
34-57009 |
Dec. 20, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Change to Exchange Rule 325 Relating to Financial Responsibility Requirements of Member Organizations
Comments due: January 18, 2008
|
SR-NYSE-2007-116 |
34-57006 |
Dec. 20, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by the New York Stock Exchange LLC Relating to NYSE Rule 300 (Trading Licenses)
Comments due: January 18, 2008
|
SR-NYSE-2007-112 |
34-57003 |
Dec. 20, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 15 (ITS and Pre-Opening Applications)
Comments due: January 18, 2008
|
SR-NYSE-2007-101 |
34-57000 |
Dec. 20, 2007 |
Notice of Filing of a Proposed Rule Amendment to NYSE Rule 104.21 (“Specialist Organizations – Additional Capital Requirements”)
Comments due: January 18, 2008
See also: Order: Rel. No. 34-57272
|
SR-NYSE-2007-110 |
34-56984 |
Dec. 18, 2007 |
Notice of Filing of a Proposed Rule Change as Modified by Amendment No. 1 Thereto to Amend Listing Fees for Structured Products, Short-Term Securities, and Debt Securities
Comments due: January 17, 2008
See also: Order: Rel. No. 34-57223
|
SR-NYSE-2007-98 |
34-56976 |
Dec. 17, 2007 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Reduce from Six Months to Three Months the Period for Which a Company’s Average Global Market Capitalization Must Exceed the Levels Established by the Exchange’s Pure Valuation/Revenue Test
Comments due: January 16, 2008
See also: Order: Rel. No. 34-57239
|
SR-NYSE-2007-114 |
34-56968 |
Dec. 14, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to NYSE Rule 92 and Riskless Principal Trading at the Exchange
Comments due: January 10, 2008
|
SR-NYSE-2006-99 |
34-56958 |
Dec. 13, 2007 |
Order Approving Proposed Rule Change as Modified by Amendment Nos. 2 and 3 Thereto Relating to Rule 104 (Dealings by Specialists)
See also: Notice: Rel. No. 34-56747
|
SR-NYSE-2007-115 |
34-56953 |
Dec. 12, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 2 (“Member,” “Membership,” “Member Firm,” etc.)
Comments due: January 9, 2008
|
SR-NYSE-2007-111 |
34-56920 |
Dec. 6, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add Rule 48 Permitting the Exchange to Declare an Extreme Market Volatility Condition
Comments due: January 3, 2008
|
SR-NYSE-2007-109 |
34-56895 |
Dec. 4, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the NYSE Rule 98 Guidelines for Approved Persons Associated with a Specialist's Member Organization
Comments due: January 2, 2008
|
SR-NYSE-2007-107 |
34-56894 |
Dec. 4, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Exchange's NYSE BondsSM System and Trade Execution Fees
Comments due: January 2, 2008
|
SR-NYSE-2007-105 |
34-56870 |
Nov. 30, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees Charged to Member Organizations for the Use of the On-Line Comparison System
Comments due: December 27, 2007
|
SR-NYSE-2007-103 |
34-56858 |
Nov. 28, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Rule 124 (Odd-Lot Orders)
Comments due: December 27, 2007
|
SR-NYSE-2007-53 |
34-56854 |
Nov. 28, 2007 |
Order Approving Proposed Rule Change, as Modified by Amendments No. 1 and 2 Thereto, to Amend NYSE Rule 342.13 ("Acceptability of Supervisors")
See also: Notice: Rel. No. 34-56686
|
SR-NYSE-2007-106 |
34-56851 |
Nov. 28, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 2, Relating to Exchange Rule 103A(a)(3) to Address Changes in the Way the Exchange Delivers Education Programs to its Members and to Clarify that the Mandatory Education Requirement Applies to All Individuals Qualified to Use a Trading License
Comments due: December 27, 2007
|
SR-NYSE-2007-77 |
34-56842 |
Nov. 27, 2007 |
Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3 Thereto, to Amend Listing Fees for Structured Products
See also: Notice: Rel. No. 34-56688
|
SR-NYSE-2007-104 |
34-56835 |
Nov. 21, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Enable the Exchange to List Certain Companies Based on Two Completed Fiscal Years and Financial Statements Covering the First Six Months of the Current Fiscal Year As Long As Prior to Listing Certain Summary Financial Data Confirms that the Company Continues to Satisfy the Applicable Standard Based On At Least Nine Completed Months of the Current Fiscal Year
Comments due: December 21, 2007
|
SR-NYSE-2007-99 |
34-56812 |
Nov. 19, 2007 |
Notice of Filing of Proposed Rule Change to Allow Issuers Voluntarily Delisting Index-Linked Securities to Submit to the Exchange a Letter from an Authorized Officer of the Issuer Rather Than a Board Resolution
Comments due: December 17, 2007
See also: Order: Rel. No. 34-57041
|
SR-NYSE-2007-102 |
34-56798 |
Nov. 15, 2007 |
Notice of Filing of Proposed Rule Change Relating to NYSE Rule 1500 (NYSE MatchPointSM)
Comments due: December 14, 2007
See also: Order: Rel. No. 34-57058
|
SR-NYSE-2007-87 |
34-56777 |
Nov. 9, 2007 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Incorporate Certain Definitions of Exchange Act Rules 13d-1 and 13d-3 into NYSE Rule 460
Comments due: December 10, 2007
See also: Order: Rel. No. 34-57100
|
SR-NYSE-2007-97 |
34-56753 |
Nov. 6, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify that a Member Organization May Still Use the Express Consent Procedure for Obtaining Consent from a Customer to Trade Along on an Order-By-Order Basis Under Rule 92(b)
Comments due: December 4, 2007
|
SR-NYSE-2006-99 |
34-56747 |
Nov. 5, 2007 |
Notice of Filing of a Proposed Rule Change Relating to Rule 104 (Dealings by Specialists)
Comments due: December 4, 2007
See also: Order: Rel. No. 34-56958
|
SR-NYSE-2007-100 |
34-56740 |
Nov. 5, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Exchange’s Transaction Fees
Comments due: November 30, 2007
|
SR-NYSE-2007-96 |
34-56726 |
Oct. 31, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 80A (Index Arbitrage Trading Restrictions)
Comments due: November 27, 2007
|
SR-NYSE-2007-95 |
34-56718 |
Oct. 29, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 18 (Compensation in Relation to Exchange System Failure)
Comments due: November 26, 2007
|
SR-NYSE-2007-83 |
34-56711 |
Oct. 26, 2007 |
Order Granting Approval of Proposed Rule Change Relating to NYSE Rule 104.10 (“Dealings by Specialists”)
See also: Notice: Rel. No. 34-56455
|
SR-NYSE-2007-90 |
34-56697 |
Oct. 24, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Charged to Member Organizations for Participation in the Exchange’s Continuing Education Program
Comments due: November 20, 2007
|
SR-NYSE-2007-77 |
34-56688 |
Oct. 23, 2007 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3 Thereto, to Amend Listing Fees for Structured Products
Comments due: November 16, 2007
See also: Order: Rel. No. 34-56842
|
SR-NYSE-2007-53 |
34-56686 |
Oct. 23, 2007 |
Notice of Filing of Proposed Rule Change, as Modified by Amendments No. 1 and 2 Thereto, to Amend NYSE Rule 342.13 ("Acceptability of Supervisors")
Comments due: November 19, 2007
See also: Order: Rel. No. 34-56854
Comments received are available for this notice.
|
SR-NYSE-2007-67 |
34-56654 |
Oct. 12, 2007 |
Order Approving Proposed Rule Change Relating to NYSE Rule 2 ("Member," "Membership," "Member Firm," etc.)
See also: Notice: Rel. No. 34-56173
|
SR-NYSE-2007-94 |
34-56621 |
Oct. 5, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Amend NYSE Rule 70.30 Relating to the Definition of a Crowd
Comments due: November 5, 2007
|
SR-NYSE-2007-91 |
34-56607 |
Oct. 3, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Waive the Fee Charged to Member Organizations for the Approval of Pre-Qualified Substitutes
Comments due: October 31, 2007
|
SR-NYSE-2007-93 |
34-56599 |
Oct. 2, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Rule 70 (Bids and Offers) and Rule 104 (Dealings by Specialists)
Comments due: October 31, 2007
|
SR-NYSE-2007-89 |
34-56591 |
Oct. 1, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Institute a Revised System of Payments to Specialist Firms
Comments due: October 30, 2007
|
SR-NYSE-2007-88 |
34-56590 |
Oct. 1, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Exchange's Transaction Fees and Certain Trading Floor Fees
Comments due: October 30, 2007
|
SR-NYSE-2007-85 |
34-56589 |
Oct. 1, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Temporary Waiver of the Specialist Marketing and Investor Education Fee for Specialists in Certain Listed Investment Company Units
Comments due: October 30, 2007
|
SR-NYSE-2007-92 |
34-56588 |
Oct. 1, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Rules 104(b) and 123D
Comments due: October 30, 2007
Comments received are available for this notice.
|
Third Quarter |
SR-NYSE-2007-86 |
34-56556 |
Sep. 27, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Moratorium on the Qualification and Registration of New Registered Competitive Market Makers and New Competitive Traders, Governed by Rules 107A and 110, Respectively, for an Additional Three Months
Comments due: October 24, 2007
|
SR-NYSE-2007-84 |
34-56554 |
Sep. 27, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Rule 104.10(6) (Dealings with Specialists)
Comments due: October 24, 2007
|
SR-NYSE-2007-82 |
34-56551 |
Sep. 27, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Rule 124 (Odd-Lot Orders)
Comments due: October 24, 2007
Additional Material:Appendix A
Comments received are available for this notice.
|
SR-NYSE-2007-76 |
34-56525 |
Sep. 25, 2007 |
Order Granting Accelerated Approval to Proposed Rule Change Relating to Requirements for the Listing and Trading of Commodity-Linked Securities and Currency-Linked Securities
See also: Notice: Rel. No. 34-56332
|
SR-NYSE-2007-79 |
34-56456 |
Sep. 18, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Charged to Member Organizations for Maintenance of Exchange-Issued Cellular Phones
Comments due: October 15, 2007
|
SR-NYSE-2007-83 |
34-56455 |
Sep. 18, 2007 |
Notice of Filing of Proposed Rule Change Relating to NYSE Rule 104.10 (“Dealings by Specialists”)
Comments due: October 16, 2007
See also: Order: Rel. No. 34-56711
Additional Materials: Appendices 3A, 3B, and 3C;
|
SR-NYSE-2007-42 |
34-56392 |
Sep. 12, 2007 |
Order Granting Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to Rule 103B ("Specialist Stock Allocation")
See also: Notice: Rel. No. 34-56183 |
SR-NYSE-2007-80 |
34-56384 |
Sep. 11, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Elimination of One of its NYSE OpenBook® Services
Comments due: October 9, 2007
|
SR-NYSE-2007-81 |
34-56370 |
Sep. 6, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 104 (Dealings by Specialists)
Comments due: October 3, 2007
|
SR-NYSE-2007-78 |
34-56337 |
Aug. 29, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Institute a Revised System of Payments to Specialist Firms
Comments due: September 27, 2007
|
SR-NYSE-2007-76 |
34-56332 |
Aug. 29, 2007 |
Notice of Filing of Proposed Rule Change Relating to Requirements for Listing of Commodity-Linked Securities and Currency-Linked Securities
Comments due: September 21, 2007
See also: Order: Rel. No. 34-56525
|
SR-NYSE-2007-75 |
34-56290 |
Aug. 20, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adjust the Earnings of Companies for Purposes of its Earnings Standard by Reversing the Income Statement Effects of Changes in Fair Value of Financial Instruments Extinguished at the Time of Listing on a Six Month Pilot Basis
Comments due: September 17, 2007
|
SR-NYSE-2007-74 |
34-56271 |
Aug. 16, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Amend Sections 703.22 and 802.01D of the Exchange’s Listed Company Manual Regarding the Listing and Trading of Index-Linked Securities
Comments due: September 12, 2007
|
SR-NYSE-2007-65 |
34-56209 |
Aug. 6, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 79A.30 (Miscellaneous Requirements on Stock Market Procedures)
Comments due: September 4, 2007
|
SR-NYSE-2007-48 |
34-56208 |
Aug. 6, 2007 |
Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to Proposed Amendments to Rule 600 to Provide Guidance Regarding New and Pending Arbitration Claims in Light of the Consolidation of NYSE Regulation into NASD DR
See also: Notices: Rel. Nos. 34-56015, 34-55818
Comments received are available for this notice.
|
SR-NYSE-2007-71 |
34-56195 |
Aug. 2, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Exclude from its Earnings Standard Gains or Losses from Extinguishment of Debt Prior to Maturity on a Six Month Pilot Basis
Comments due: August 30, 2007
|
SR-NYSE-2007-42 |
34-56183 |
Aug. 2, 2007 |
Notice of Filing of Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to Rule 103B ("Specialist Stock Allocation")
Comments due: August 29, 2007
See also: Order: Rel. No. 34-56392
|
SR-NYSE-2007-70 |
34-56181 |
Aug. 1, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Amend the Gross FOCUS Fee
Comments due: August 28, 2007
|
SR-NYSE-2007-67 |
34-56173 |
Jul. 31, 2007 |
Notice of Filing of Proposed Rule Change Relating to NYSE Rule 2 ("Member," "Membership," "Member Firm," etc.)
Comments due: August 28, 2007
See also: Order: Rel. No. 34-56654
|
SR-NYSE-2007-69 |
34-56169 |
Jul. 30, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Information Memorandum That Reflects the Changes to Disciplinary Proceedings at NYSE Regulation, Inc. as a Result of the Regulatory Consolidation with the National Association of Securities Dealers, Inc.
Comments due: August 24, 2007
|
SR-NYSE-2007-013 |
34-56162 |
Jul. 27, 2007 |
Notice of Filing of Proposed Rule on Notification of Fees
Comments due: August 23, 2007
Submit comments on SR-NYSE-2007-013
|
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
See also: Notice: Rel. No. 34-55594
Comments received are available for this notice.
|
SR-NYSE-2007-59 |
34-56143 |
Jul. 26, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NYSE Rules 342(c) ("Offices – Approval, Supervision and Control") and 343 ("Offices – Sole Tenancy, Hours, Display of Membership Certificates")
Comments due: August 23, 2007
Comments received are available for this notice.
|
SR-NYSE-2007-22 |
34-56142 |
Jul. 26, 2007 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Harmonization of NYSE and NASD Regulatory Standards, the Updating of Certain NYSE Terminology, and the Reorganization and Clarification of Certain NYSE Rules in Connection with the Harmonization Process
Comments due: August 22, 2007
Comments received are available for this notice.
Submit comments on SR-NYSE-2007-22
|
SR-NYSE-2007-55 |
34-56140 |
Jul. 26, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Rule 106 (Specialists’ Contact with Listed Companies and Member Organizations)
Comments due: August 22, 2007
|
SR-NYSE-2007-56 |
34-56107 |
Jul. 19, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Extending the Portfolio Margin Pilot Program under NYSE Rules 431 (Margin Requirements) and 726 (Delivery of Options Disclosure Document and Prospectus)
Comments due: August 17, 2007
|
SR-NYSE-2007-63 |
34-56088 |
Jul. 18, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 92(d)(6), Limitations on Members’ Trading Because of Customers’ Orders
Comments due: August 14, 2007
|
SR-NYSE-2007-09 |
34-56085 |
Jul. 17, 2007 |
Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval to a Proposed Rule Change as Modified by Amendments No. 1, 2, and 3 Thereto Relating to Rule 18 (Compensation in Relation to System Failure)
Comments due: August 14, 2007
See also: Notice: Rel. No. 34-55555
Comments received are available for this notice.
|
SR-NYSE-2007-60 |
34-56065 |
Jul. 13, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Charge Member Organizations a Routing Fee for Orders Routed to Other Markets for Execution
Comments due: August 9, 2007
|
SR-NYSE-2007-61 |
34-56024 |
Jul. 6, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 97, Limitation on Members’ Trading Because of Block Positioning
Comments due: August 3, 2007
|
SR-NYSE-2007-21 |
34-56017 |
Jul. 5, 2007 |
Order Granting Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 Thereto Relating to Rule 92 (Limitations on Members’ Trading Because of Customers’ Orders)
Comments due: August 2, 2007
See also: Notice: Rel. No. 34-55804
|
SR-NYSE-2007-48 |
34-56015 |
Jul. 5, 2007 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Proposed Amendments to Rule 600 to Provide Guidance Regarding New and Pending Arbitration Claims in Light of the Consolidation of NYSE Regulation into NASD DR
Comments due: August 1, 2007
See also: Order: Rel. No. 34-56208,
Notice: Rel. No. 34-55818
Comments received are available for this notice.
|
Second Quarter |
SR-NYSE-2007-58 |
34-55995 |
Jun. 29, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Rule 104.10(6)
Comments due: July 30, 2007
|
SR-NYSE-2007-57 |
34-55992 |
Jun. 29, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Moratorium on the Qualification and Registration of New Registered Competitive Market Makers and New Competitive Traders, Governed by Rules 107A and 110, Respectively, for an Additional Three Months
Comments due: July 30, 2007
|
SR-NYSE-2007-52 |
34-55974 |
Jun. 28, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Exclude Interest Expense on Financial Instruments Classified Under GAAP as Liabilities from the Exchange’s Earnings Standard
Comments due: July 27, 2007
|
SR-NYSE-2007-46 |
34-55953 |
Jun. 25, 2007 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of Shares of the HealthShares™ Orthopedic Repair Exchange-Traded Fund
Comments due: July 23, 2007
|
SR-NYSE-2007-51 |
34-55908 |
Jun. 14, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rules 54 ("Dealings on the Floor—Persons") and 70 ("Bids and Offers")
Comments due: July 11, 2007
|
SR-NYSE-2007-50 |
34-55904 |
Jun. 13, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Its Current Revenue Sharing Program for Its Specialists for an Additional Three Months
Comments due: July 11, 2007
|
SR-NYSE-2006-28 |
34-55859 |
Jun. 5, 2007 |
Notice of Filing of Amendment No. 4 to Proposed Rule Change and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment Nos. 2, 3, and 4 Relating to NYSE Rules 134 and 411
Comments due: July 3, 2007
See also: Notice: Rel. No. 34-55361
|
SR-NYSE-2007-47 |
34-55852 |
Jun. 4, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Rules 103A and 103B
Comments due: June 29, 2007
|
SR-NYSE-2007-10 |
34-55823 |
May 29, 2007 |
Order Approving Proposed Amendments to Interpretation to Rule 311(b)(5) ("Co-Designation of Principal Executive Officers") as Modified by Amendment No. 1
See also: Notice: Rel. No. 34-55650
|
SR-NYSE-2007-48 |
34-55818 |
May 25, 2007 |
Notice of Filing of Proposed Rule Change Relating to Proposed Amendments to Rule 600 to Provide Guidance Regarding New and Pending Arbitration Claims in Light of the Consolidation of NYSE Regulation into NASD DR
Comments due: June 25, 2007
See also: Order: Rel. No. 34-56208,
Notice: Rel. No. 34-56015
Comments received are available for this notice.
|
SR-NYSE-2007-21 |
34-55804 |
May 23, 2007 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Rule 92 (Limitations on Members’ Trading Because of Customers’ Orders)
Comments due: June 21, 2007
See also: Order/Notice: Rel. No. 34-56071
Comments received are available for this notice.
|
SR-NYSE-2007-28 |
34-55796 |
May 22, 2007 |
Order Granting Approval to Proposed Rule Change to Exempt Limited Partnerships from Certain of its Shareholder Approval Rules
See also: Notice: Rel. No. 34-55528
|
SR-NYSE-2007-34 |
34-55793 |
May 22, 2007 |
Order Approving Proposed Rule Change to Amend NYSE Rule 80A.40(b) to Update the Definition of "Program Trading," to Substitute Simplified Audit Trail Requirements, and to Make Conforming Amendments to NYSE Rule 410B
See also: Notice: Rel. No. 34-55615
|
SR-NYSE-2007-37 |
34-55780 |
May 17, 2007 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Generic Listing Standards for Series of Investment Company Units based on Fixed Income Indexes and Order Granting Accelerated Approval of Proposed Rule Change as Amended
Comments due: June 7, 2007
|
SR-NYSE-2007-24 |
34-55768 |
May 15, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Rule 13 (Definitions of Orders) to Establish the New Order Type Called Do Not Ship
Comments due: June 11, 2007
|
SR-NYSE-2006-06 |
34-55766 |
May 15, 2007 |
Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Proposed New Rule 350A ("Business Entertainment") Concerning Policies and Procedures Addressing Business Entertainment
Comments due: June 11, 2007
Comments received are available for this notice.
Submit comments on SR-NYSE-2006-06
|
SR-NYSE-2007-19 |
34-55742 |
May 10, 2007 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change as Modified by Amendment No. 1 Relating to the Waiver of Certain Listing Fees
Comments due: June 7, 2007
See also: Notice: Rel. No. 34-55421
|
SR-NYSE-2007-06 |
34-55735 |
May 10, 2007 |
Order Approving Proposed Rule Change to Amend NYSE Rule 440A ("Telephone Solicitations")
See also: Notice: Rel. No. 34-55517
|
SR-NYSE-2007-44 |
34-55698 |
May 2, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Fees for NYSE Bonds
Comments due: May 30, 2007
|
SR-NYSE-2007-27 |
34-55687 |
May 1, 2007 |
Notice of Filing of Amendment No. 3 to Proposed Rule Change and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendments No. 1, 2, and 3 Thereto, to Adopt Generic Listing Standards for Index-Linked Securities
Comments due: May 29, 2007
See also: Notice: Rel. No. 34-55600
|
SR-NYSE-2007-41 |
34-55670 |
Apr. 25, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate the Securities Manager Examination ("Series 12")
Comments due: May 23, 2007
Comments received are available for this notice.
|
SR-NYSE-2007-15 |
34-55656 |
Apr. 23, 2007 |
Order Approving Proposed Rule Change Regarding the Amendment of NYSE Rule 300 Relating to Trading Licenses
See also: Notice: Rel. No. 34-55345
|
SR-NYSE-2007-10 |
34-55650 |
Apr. 19, 2007 |
Notice of Filing of Proposed Amendments to Interpretation to Rule 311(b)(5) ("Co-Designation of Principal Executive Officers") as Modified by Amendment No. 1
Comments due: May 17, 2007
See also: Order: Rel. No. 34-55823
|
SR-NYSE-2007-02 |
34-55646 |
Apr. 19, 2007 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Adopt New Rule 447 ("Emergency Powers")
Comments due: May 16, 2007
Comments received are available for this notice.
Submit comments on SR-NYSE-2007-02
|
SR-NYSE-2007-39 |
34-55641 |
Apr. 17, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Rule 103B (Specialist Stock Allocation)
Comments due: May 15, 2007
|
SR-NYSE-2007-32 |
34-55618 |
Apr. 11, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, and Amendment No. 1 Thereto, Relating to Rule 15B(T) (Protected Bids and Offers of Away Markets)
Comments due: May 9, 2007
|
SR-NYSE-2007-34 |
34-55615 |
Apr. 11, 2007 |
Notice of Filing of Proposed Rule Change to Amend NYSE Rule 80A.40(b) to Update the Definition of "Program Trading," to Substitute Simplified Audit Trail Requirements, and to Make Conforming Amendments to NYSE Rule 410B
Comments due: May 8, 2007
See also: Order: Rel. No. 34-55793
|
SR-NYSE-2007-27 |
34-55600 |
Apr. 9, 2007 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Adopt Generic Listing Standards for Index-Linked Securities
Comments due: April 30, 2007
See also: Notice/Order: Rel. No. 34-55687
|
SR-NYSE-2005-48 |
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
See also: Order/Notice: Rel. No. 34-56158
Comments received are available for this notice.
|
SR-NYSE-2004-56 |
34-55593 |
Apr. 6, 2007 |
Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change Relating to Amendments to Exchange Rule 611, "Disqualification or Other Disability of Arbitrators"
Comments due: May 3, 2007
|
SR-NYSE-2007-29 |
34-55590 |
Apr. 5, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Rules 13 ("Definitions of Orders") and 17 ("Use of Exchange Facilities")
Comments due: May 4, 2007
|
SR-NYSE-2006-75 |
34-55585 |
Apr. 5, 2007 |
Order Granting Approval to Proposed Rule Change as Modified by Amendment No. 1 Thereto to List and Trade Four iShares® GS® Commodity Indexed Trusts
See also: Notice: Rel. No. 34-54992
|
SR-NYSE-2007-36 |
34-55574 |
Apr. 3, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Section 802.01C of the Listed Company Manual, Clarifying that the Exchange Uses the Closing Price Reported on the Consolidated Tape to Determine Compliance with Its Price Test
Comments due: May 1, 2007
|
SR-NYSE-2007-35 |
34-55567 |
Apr. 2, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Technical Amendments to the Amended and Restated Certificate of Incorporation of NYSE Euronext
Comments due: May 1, 2007
|
First Quarter |
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
See also: Notice: Rel. No. 34-54255
|
SR-NYSE-2007-09 |
34-55555 |
Mar. 29, 2007 |
Notice of Filing of Proposed Rule Change as modified by Amendments No. 1 and 2 Thereto Relating to Rule 18 (Compensation in Relation to System Failure)
Comments due: April 26, 2007
See also: Notice/Order: Rel. No. 34-56085
Comments received are available for this notice.
|
SR-NYSE-2006-71 |
34-55548 |
Mar. 28, 2007 |
Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 to List and Trade Nine Series of Exchange-Traded Notes of Barclays Bank PLC Linked to the Performance of Sub-Indices of the Dow Jones - AIG Commodity IndexSM
See also: Notice: Rel. No. 34-55352
|
SR-NYSE-2007-12 |
34-55545 |
Mar. 27, 2007 |
Order Granting Accelerated Approval to a Proposed Rule Change as Modified by Amendment No. 1 to Amend Section 703.16 of the NYSE Listed Company Manual to Eliminate Requirement Regarding Index Weighting and Calculation Methodology
See also: Notice: Rel. No. 34-55343
|
SR-NYSE-2007-31 |
34-55543 |
Mar. 27, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 60 to Allow the Exchange to Identify its Quotation as Slow Non-Firm During the Manual Reporting of a Block-Sized Transaction
Comments due: April 24, 2007
|
SR-NYSE-2007-30 |
34-55537 |
Mar. 27, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 123D (Openings and Halts In Trading)
Comments due: April 23, 2007
|
SR-NYSE-2007-01 |
34-55536 |
Mar. 27, 2007 |
Order Approving Proposed Rule Change to Amend Listing and Annual Fees Applicable to Investment Company Units, Currency Trust Shares, Commodity Trust Shares and streetTRACKS® Gold Shares
See also: Notice: Rel. No. 34-55299
|
SR-NYSE-2007-28 |
34-55528 |
Mar. 26, 2007 |
Notice of Filing of Proposed Rule Change to Exempt Limited Partnerships from Certain of its Shareholder Approval Rules
Comments due: April 23, 2007
See also: Order: Rel. No. 34-55796
|
SR-NYSE-2007-06 |
34-55517 |
Mar. 23, 2007 |
Notice of Filing of Proposed Rule Change to NYSE Rule 440A ("Telephone Solicitations")
Comments due: April 19, 2007
See also: Order: Rel. No. 34-55735
|
SR-NYSE-2006-37 |
34-55496 |
Mar. 20, 2007 |
Notice of Filing of Amendment No. 3 to and Order Granting Accelerated Approval of Proposed Rule Change, as amended, Relating to the Establishment of NYSE Bonds
Comments due: April 18, 2007
See also: Notice: Rel. No. 34-54615
Comments received are available for this notice.
|
SR-NYSE-2007-18 |
34-55462 |
Mar. 13, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Linkage Order Fee
Comments due: April 11, 2007
|
SR-NYSE-2007-20 |
34-55448 |
Mar. 12, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete from Section 804.00 of the Exchange’s Listed Company Manual Text that has been Superseded
Comments due: April 9, 2007
|
SR-NYSE-2007-16 |
34-55439 |
Mar. 9, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate the Individual Investor Express Delivery Service
Comments due: April 6, 2007
|
SR-NYSE-2007-19 |
34-55421 |
Mar. 8, 2007 |
Notice of Filing of Proposed Rule Change to Waive Certain Listing Fees
Comments due: April 4, 2007
See also: Notice/Order: Rel. No. 34-55742
|
SR-NYSE-2006-111 |
34-55406 |
Mar. 6, 2007 |
Order Approving Proposed Rule Changes to Increase the Frequency of the Short Interest Reporting Requirements
Additional File Numbers: SR-NASD-2006-131; SR-Amex-2007-05
See also: Notice: Rel. No. 34-55170
|
SR-NYSE-2007-25 |
34-55398 |
Mar. 5, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 123D (Openings and Halts In Trading)
Comments due: April 2, 2007
|
SR-NYSE-2007-23 |
34-55387 |
Mar. 2, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 15A.50 Clarifying the Circumstances Under Which the Exchange Will Automatically Route Orders to Other Market Centers to Prevent Trade-Throughs, and Rename Rule 15A
Comments due: March 30, 2007
|
SR-NYSE-2006-28 |
34-55361 |
Feb. 27, 2007 |
Notice of Filing of a Proposed Rule Change as Modified by Amendment No. 2 Thereto Relating to NYSE Rules 134 and 411
Comments due: March 27, 2007
See also: Notice/Order: Rel. No. 34-55859
|
SR-NYSE-2007-04 |
34-55354 |
Feb. 26, 2007 |
Notice of Filing of Proposed Rule Change Relating to Approval of Fee for NYSE Real-Time Trade Prices
Comments due: March 26, 2007
See also: Notice/Order: Rel. No. 34-57966
Comments received are available for this notice.
|
SR-NYSE-2006-71 |
34-55352 |
Feb. 26, 2007 |
Notice of Filing of Proposed Rule Change to List and Trade Nine Series of Exchange-Traded Notes of Barclays Bank PLC Linked to the Performance of Sub-Indices of the Dow Jones - AIG Commodity IndexSM
Comments due: March 19, 2007
See also: Order: Rel. No. 34-55548
|
SR-NYSE-2007-15 |
34-55345 |
Feb. 26, 2007 |
Notice of Filing of a Proposed Rule Change Regarding the Amendment of NYSE Rule 300 Relating to Trading Licenses
Comments due: March 26, 2007
See also: Order: Rel. No. 34-55656
|
SR-NYSE-2007-12 |
34-55343 |
Feb. 23, 2007 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Amend Section 703.16 of the NYSE Listed Company Manual to Eliminate Requirement Regarding Index Calculation Methodology
Comments due: March 20, 2007
See also: Order: Rel. No. 34-55545
|
SR-NYSE-2006-04 |
34-55337 |
Feb. 23, 2007 |
Order Approving Proposed Rule Change as Modified by Amendment Nos. 1 and 2 Thereto Relating to NYSE Rule 116 ("Stop" Constitutes Guarantee) and NYSE Rule 123B (Exchange Automated Order Routing Systems)
Comments received are available for this notice.
See also: Notice: Rel. No. 34-54592
|
SR-NYSE-2007-14 |
34-55316 |
Feb. 20, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Rule 70 (Bids and Offers)
Comments due: March 20, 2007
|
SR-NYSE-2007-17 |
34-55314 |
Feb. 20, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide That There Be No Initial Listing Fee Payable for Any Equity Security, Structured Product or Closed-End Management Investment Company That Transfers from Another National Securities Exchange
Comments due: March 20, 2007
|
SR-NYSE-2007-01 |
34-55299 |
Feb. 15, 2007 |
Notice of Filing of Proposed Rule Change to Amend Listing and Annual Fees Applicable to Investment Company Units, Currency Trust Shares, Commodity Trust Shares and streetTRACKS® Gold Shares
Comments due: March 16, 2007
See also: Order: Rel. No. 34-55536
|
SR-NYSE-2006-120 |
34-55293 |
Feb. 14, 2007 |
Order Granting Approval of Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 Regarding the Proposed Combination Between NYSE Group, Inc. and Euronext N.V.
Comments due: March 15, 2007
See also: Notice: Rel. No. 34-55026
Additional Materials: Amendment No. 1; Exhibit 5C; Exhibit 5D; Exhibit 5F; Exihibit 5G; Exhibit 5H; Exhibit 5I; Exhibit 5J; Exhibit 5M
Comments received are available for this notice.
|
SR-NYSE-2007-07 |
34-55281 |
Feb. 12, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of the Crossing Session III and IV Pilot
Comments due: March 13, 2007
|
SR-NYSE-2007-03 |
34-55268 |
Feb. 9, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Regarding CurrencySharesSM Japanese Yen Trust
Comments due: March 13, 2007
|
SR-NYSE-2006-45 |
34-55264 |
Feb. 9, 2007 |
Order Approving Proposed Rule Change to Amend NYSE Rule 638 Concerning Mediation
See also: Notice: Rel. No. 34-54917
Comments received are available for this notice. |
SR-NYSE-2007-11 |
34-55244 |
Feb. 5, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 122 (Orders with More than One Broker) until the availability of full d-Quote functions in a particular security or March 5, 2007, whichever comes first
Comments due: March 6, 2007
|
SR-NYSE-2006-68 |
34-55222 |
Feb. 1, 2007 |
Notice of Filing of a Proposed Rule Change and Amendments No. 1, 2, and 3 Thereto to List and Trade Exchange-Traded Notes of Barclays Bank PLC Linked to the Performance of the U.S. Dollar/Japanese Yen Exchange Rate
Comments due: February 23, 2007
Submit comments on SR-NYSE-2006-68
|
SR-NYSE-2007-05 |
34-55218 |
Jan. 31, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Rule 36 (Communication Between Exchange and Members’ Offices)
Comments due: March 3, 2007
|
SR-NYSE-2006-109 |
34-55216 |
Jan. 31, 2007 |
Order Granting Approval of Proposed Rule Change Relating to NYSE Regulation, Inc. Policies Regarding Exercise of Power to Fine NYSE Member Organizations and Use of Money Collected as Fines
See also: Notice: Rel. No. 34-55003
|
SR-NYSE-2007-08 |
34-55210 |
Jan. 31, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt New Rule 15B(T) Relating to Intermarket Sweep Orders
Comments due: February 28, 2007
|
SR-NYSE-2006-116 |
34-55198 |
Jan. 30, 2007 |
Order Approving Proposed Rule Change Amending Annual Report Timely Filing Requirements
See also: Notice: Rel. No. 34-54977
|
SR-NYSE-2006-67 |
34-55189 |
Jan. 29, 2007 |
Notice of Filing of a Proposed Rule Change and Amendments No. 1 and 2 Thereto to List and Trade Exchange-Traded Notes of Barclays Bank PLC Linked to the Performance of the British pound/U.S. Dollar Exchange Rate
Comments due: February 20, 2007
Submit comments on SR-NYSE-2006-67
|
SR-NYSE-2006-66 |
34-55188 |
Jan. 29, 2007 |
Notice of Filing of a Proposed Rule Change and Amendments No. 1 and 2 Thereto to List and Trade Exchange-Traded Notes of Barclays Bank PLC Linked to the Performance of the euro/U.S. Dollar Exchange Rate
Comments due: February 20, 2007
Submit comments on SR-NYSE-2006-66
|
SR-NYSE-2006-111 |
34-55170 |
Jan. 26, 2007 |
Notice of Filing of Proposed Rule Changes to Increase the Frequency of the Short Interest Reporting Requirements
Additional File Numbers: SR-NASD-2006-131; SR-Amex-2007-05
Comments due: February 22, 2007
See also: Order: Rel. No. 34-55406
Comments received are available for this notice.
|
SR-NYSE-2006-57 |
34-55132 |
Jan. 19, 2007 |
Order Granting Approval of a Proposed Rule Change Amending Rule 180 to Require Member Organizations to Use the Automated Liability Notification System of a Registered Clearing Agency
See also: Notice: Rel. No. 34-54818
|
SR-NYSE-2006-110 |
34-55120 |
Jan. 18, 2007 |
Order Approving a Proposed Rule Change Relating to Its Linkage Order Fee
See also: Notice: Rel. No. 34-54912
|
SR-NYSE-2006-101 |
34-55113 |
Jan. 17, 2007 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change as Modified by Amendments No. 1 and 2 Thereto Adopting Generic Listing Standards for Exchange-Traded Funds Based on International or Global Indexes or Indexes Previously Approved by the Commission as Underlying Benchmarks for Derivative Securities
Comments due: February 14, 2007
|
SR-NYSE-2006-90 |
34-55084 |
Jan. 10, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 13 (Definitions of Orders)
Comments due: February 8, 2007
|
SR-NYSE-2006-97 |
34-55079 |
Jan. 10, 2007 |
Order Approving Proposed Rule Change Relating to Exchange Rule 342 ("Offices – Approval, Supervision and Control")
See also: Notice: Rel. No. 34-54847
|
SR-NYSE-2006-78 |
34-55072 |
Jan. 9, 2007 |
Notice of Filing of Proposed Rule Changes to Amend NYSE Rules 472 and 344, and NASD Rules 1050 and 2711 Relating to Research Analyst Conflicts of Interest
Additional Nos.: SR-NASD-2006-113
Comments due: March 5, 2007
Comments received are available for this notice.
Submit comments on SR-NYSE-2006-78
|
SR-NYSE-2006-117 |
34-55069 |
Jan. 9, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate the Exemption from Equity Trading Fees for Principal Transactions by a Member Organization "Facilitating" a Customer Order of at Least 10,000 Shares
Comments due: February 9, 2007
|
SR-NYSE-2006-80 |
34-55067 |
Jan. 9, 2007 |
Order Approving a Proposed Rule Change and Amendment No. 1 Relating To NYSE Rule 1300 (Gold Shares) and NYSE Rule 51 (Hours of Business)
See also: Notice: Rel. No. 34-54801
|
Release No. |
Date |
Details |
SR-NYSE-2007-127 |
34-57093 |
Jan. 3, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Certain Regulatory Fees
Comments due: January 30, 2008
|
SR-NYSE-2007-125 |
34-57072 |
Dec. 31, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Rule 107A (Registered Competitive Market Makers) and Exchange Rule 110 (Competitive Traders)
Comments due: January 28, 2008
|
SR-NYSE-2007-123 |
34-57063 |
Dec. 28, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 1000 (Automatic Execution of Limit Orders Against Orders Reflected in NYSE Published Quotation)
Comments due: January 28, 2008
|
SR-NYSE-2007-122 |
34-57062 |
Dec. 28, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Changes to Extend the Deadline until March 31, 2008 for Issuers to Become Compliant with Listing Requirements Concerning Direct Registration Programs
Comments due: January 25, 2008
Additional File Nos.: SR-NASDAQ-2007-101; SR-Amex-2007-142; and SR-NYSEArca-2007-131
|
SR-NYSE-2007-121 |
34-57084 |
Jan. 2, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reduce the Trading Floor Regulatory Fee
Comments due: January 29, 2008
|
SR-NYSE-2007-120 |
34-57156 |
Jan. 15, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NYSE Rules 13, 60, and 1000 to Allow For the Automatic Execution of G-Quotes in the Display Book
Comments due: February 13, 2008
|
SR-NYSE-2007-119 |
34-57305 |
Feb. 11, 2008 |
Order Approving Proposed Rule Change Relating to the Adoption of New Exchange Rule 309 (Failure to Pay Fees)
|
34-57065 |
Dec. 28, 2007 |
Notice of Filing of Proposed Rule Change Relating to the Adoption of New Exchange Rule 309 (Failure to Pay Fees)
Comments due: January 28, 2008
|
SR-NYSE-2007-118 |
34-57046 |
Dec. 27, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Rule 409(f)
Comments due: January 24, 2008
Comments received are available for this notice.
|
SR-NYSE-2007-117 |
34-57035 |
Dec. 21, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a New Non-Regulatory Trading Halt Condition Under Rule 123D Designated as "Investment Company Units or Index-Linked Securities"
Comments due: January 22, 2008
|
SR-NYSE-2007-116 |
34-57006 |
Dec. 20, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by the New York Stock Exchange LLC Relating to NYSE Rule 300 (Trading Licenses)
Comments due: January 18, 2008
|
SR-NYSE-2007-115 |
34-56953 |
Dec. 12, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 2 (“Member,” “Membership,” “Member Firm,” etc.)
Comments due: January 9, 2008
|
SR-NYSE-2007-114 |
34-56968 |
Dec. 14, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to NYSE Rule 92 and Riskless Principal Trading at the Exchange
Comments due: January 10, 2008
|
SR-NYSE-2007-113 |
34-57291 |
Feb. 7, 2008 |
Order Approving Proposed Rule Change to Amend Annual Fees Applicable to Groups of Real Estate Investment Trusts Under Common External Management
|
34-57061 |
Dec. 28, 2007 |
Notice of Filing of Proposed Rule Change to Amend Annual Fees Applicable to Groups of Real Estate Investment Trusts Under Common External Management
Comments due: January 25, 2008
|
SR-NYSE-2007-112 |
34-57003 |
Dec. 20, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 15 (ITS and Pre-Opening Applications)
Comments due: January 18, 2008
|
SR-NYSE-2007-111 |
34-56920 |
Dec. 6, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add Rule 48 Permitting the Exchange to Declare an Extreme Market Volatility Condition
Comments due: January 3, 2008
|
SR-NYSE-2007-110 |
34-57223 |
Jan. 29, 2008 |
Order Granting Approval of a Proposed Rule Change as Modified by Amendment No. 1 Thereto to Amend Listing Fees for Structured Products, Short-Term Securities, and Debt Securities
|
34-56984 |
Dec. 18, 2007 |
Notice of Filing of a Proposed Rule Change as Modified by Amendment No. 1 Thereto to Amend Listing Fees for Structured Products, Short-Term Securities, and Debt Securities
Comments due: January 17, 2008
|
SR-NYSE-2007-109 |
34-56895 |
Dec. 4, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the NYSE Rule 98 Guidelines for Approved Persons Associated with a Specialist's Member Organization
Comments due: January 2, 2008
|
SR-NYSE-2007-108 |
34-57009 |
Dec. 20, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Change to Exchange Rule 325 Relating to Financial Responsibility Requirements of Member Organizations
Comments due: January 18, 2008
See also: Order: Rel. No. 34-57223
|
SR-NYSE-2007-107 |
34-56894 |
Dec. 4, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Exchange's NYSE BondsSM System and Trade Execution Fees
Comments due: January 2, 2008
|
SR-NYSE-2007-106 |
34-56851 |
Nov. 28, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 2, Relating to Exchange Rule 103A(a)(3) to Address Changes in the Way the Exchange Delivers Education Programs to its Members and to Clarify that the Mandatory Education Requirement Applies to All Individuals Qualified to Use a Trading License
Comments due: December 27, 2007
|
SR-NYSE-2007-105 |
34-56870 |
Nov. 30, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees Charged to Member Organizations for the Use of the On-Line Comparison System
Comments due: December 27, 2007
|
SR-NYSE-2007-104 |
34-56835 |
Nov. 21, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Enable the Exchange to List Certain Companies Based on Two Completed Fiscal Years and Financial Statements Covering the First Six Months of the Current Fiscal Year As Long As Prior to Listing Certain Summary Financial Data Confirms that the Company Continues to Satisfy the Applicable Standard Based On At Least Nine Completed Months of the Current Fiscal Year
Comments due: December 21, 2007
|
SR-NYSE-2007-103 |
34-56858 |
Nov. 28, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Rule 124 (Odd-Lot Orders)
Comments due: December 27, 2007
|
SR-NYSE-2007-102 |
34-57058 |
Dec. 28, 2007 |
Order Approving Proposed Rule Change, As Modified by Amendment No. 1 Thereto, Relating to NYSE Rule 1500 (NYSE MatchPointSM)
|
34-56798 |
Nov. 15, 2007 |
Notice of Filing of Proposed Rule Change Relating to NYSE Rule 1500 (NYSE MatchPointSM)
Comments due: December 14, 2007
|
SR-NYSE-2007-101 |
34-57272 |
Feb. 5, 2008 |
Order Granting Approval of Proposed Rule Change Relating to Amendments to NYSE Rule 104.21 (“Specialist Organizations – Additional Capital Requirements”)
|
34-57000 |
Dec. 20, 2007 |
Notice of Filing of a Proposed Rule Amendment to NYSE Rule 104.21 (“Specialist Organizations – Additional Capital Requirements”)
Comments due: January 18, 2008
|
SR-NYSE-2007-100 |
34-56740 |
Nov. 5, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Exchange’s Transaction Fees
Comments due: November 30, 2007
|
SR-NYSE-2007-99 |
34-57041 |
Dec. 26, 2007 |
Order Granting Approval to Proposed Rule Change to Permit Issuers of Index-Linked Securities to Submit a Letter From the Issuer's Authorized Executive Officer Rather Than Provide a Certified Copy of the Resolution Adopted By the Issuers' Board of Directors, When the Issuers Are Voluntarily Delisting the Securities From the Exchange and Transferring the Listing to Another National Securities Exchange
|
34-56812 |
Nov. 19, 2007 |
Notice of Filing of Proposed Rule Change to Allow Issuers Voluntarily Delisting Index-Linked Securities to Submit to the Exchange a Letter from an Authorized Officer of the Issuer Rather Than a Board Resolution
Comments due: December 17, 2007
|
SR-NYSE-2007-98 |
34-57239 |
Jan. 30, 2008 |
Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Reduce from Six Months to Three Months the Period for Which a Company’s Average Global Market Capitalization Must Exceed the Levels Established by the Exchange’s Pure Valuation/Revenue Test
|
34-56976 |
Dec. 17, 2007 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Reduce from Six Months to Three Months the Period for Which a Company’s Average Global Market Capitalization Must Exceed the Levels Established by the Exchange’s Pure Valuation/Revenue Test
Comments due: January 16, 2008
|
SR-NYSE-2007-97 |
34-56753 |
Nov. 6, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify that a Member Organization May Still Use the Express Consent Procedure for Obtaining Consent from a Customer to Trade Along on an Order-By-Order Basis Under Rule 92(b)
Comments due: December 4, 2007
|
SR-NYSE-2007-96 |
34-56726 |
Oct. 31, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 80A (Index Arbitrage Trading Restrictions)
Comments due: November 27, 2007
|
SR-NYSE-2007-95 |
34-56718 |
Oct. 29, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 18 (Compensation in Relation to Exchange System Failure)
Comments due: November 26, 2007
Submit comments on SR-NYSE-2007-95
|
SR-NYSE-2007-94 |
34-56621 |
Oct. 5, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Amend NYSE Rule 70.30 Relating to the Definition of a Crowd
Comments due: November 5, 2007
|
SR-NYSE-2007-93 |
34-56599 |
Oct. 2, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Rule 70 (Bids and Offers) and Rule 104 (Dealings by Specialists)
Comments due: October 31, 2007
|
SR-NYSE-2007-92 |
34-56588 |
Oct. 1, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Rules 104(b) and 123D
Comments due: October 30, 2007
Comments received are available for this notice.
|
SR-NYSE-2007-91 |
34-56607 |
Oct. 3, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Waive the Fee Charged to Member Organizations for the Approval of Pre-Qualified Substitutes
Comments due: October 31, 2007
|
SR-NYSE-2007-90 |
34-56697 |
Oct. 24, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Charged to Member Organizations for Participation in the Exchange’s Continuing Education Program
Comments due: November 20, 2007
|
SR-NYSE-2007-89 |
34-56591 |
Oct. 1, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Institute a Revised System of Payments to Specialist Firms
Comments due: October 30, 2007
|
SR-NYSE-2007-88 |
34-56590 |
Oct. 1, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Exchange's Transaction Fees and Certain Trading Floor Fees
Comments due: October 30, 2007
|
SR-NYSE-2007-87 |
34-57100 |
Jan. 4, 2008 |
Order Approving Proposed Rule Change, as modified by Amendment No. 1 Thereto, to Incorporate Certain Definitions of Exchange Act Rules 13d-1 and 13d-3 into NYSE Rule 460
|
34-56777 |
Nov. 9, 2007 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Incorporate Certain Definitions of Exchange Act Rules 13d-1 and 13d-3 into NYSE Rule 460
Comments due: December 10, 2007
|
SR-NYSE-2007-86 |
34-56556 |
Sep. 27, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Moratorium on the Qualification and Registration of New Registered Competitive Market Makers and New Competitive Traders, Governed by Rules 107A and 110, Respectively, for an Additional Three Months
Comments due: October 24, 2007
|
SR-NYSE-2007-85 |
34-56589 |
Oct. 1, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Temporary Waiver of the Specialist Marketing and Investor Education Fee for Specialists in Certain Listed Investment Company Units
Comments due: October 30, 2007
|
SR-NYSE-2007-84 |
34-56554 |
Sep. 27, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Rule 104.10(6) (Dealings with Specialists)
Comments due: October 24, 2007
|
SR-NYSE-2007-83 |
34-56711 |
Oct. 26, 2007 |
Order Granting Approval of Proposed Rule Change Relating to NYSE Rule 104.10 (“Dealings by Specialists”)
|
34-56455 |
Sep. 18, 2007 |
Notice of Filing of Proposed Rule Change Relating to NYSE Rule 104.10 (“Dealings by Specialists”)
Comments due: October 16, 2007
Additional Materials: Appendices 3A, 3B, and 3C
|
SR-NYSE-2007-82 |
34-56551 |
Sep. 27, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Rule 124 (Odd-Lot Orders)
Comments due: October 24, 2007
Additional Material:Appendix A
Comments received are available for this notice.
|
SR-NYSE-2007-81 |
34-56370 |
Sep. 6, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 104 (Dealings by Specialists)
Comments due: October 3, 2007
|
SR-NYSE-2007-80 |
34-56384 |
Sep. 11, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Elimination of One of its NYSE OpenBook® Services
Comments due: October 9, 2007
|
SR-NYSE-2007-79 |
34-56456 |
Sep. 18, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Charged to Member Organizations for Maintenance of Exchange-Issued Cellular Phones
Comments due: October 15, 2007
|
SR-NYSE-2007-78 |
34-56337 |
Aug. 29, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Institute a Revised System of Payments to Specialist Firms
Comments due: September 27, 2007
|
SR-NYSE-2007-77 |
34-56842 |
Nov. 27, 2007 |
Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3 Thereto, to Amend Listing Fees for Structured Products
|
34-56688 |
Oct. 23, 2007 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3 Thereto, to Amend Listing Fees for Structured Products
Comments due: November 16, 2007
|
SR-NYSE-2007-76 |
34-56525 |
Sep. 25, 2007 |
Order Granting Accelerated Approval to Proposed Rule Change Relating to Requirements for the Listing and Trading of Commodity-Linked Securities and Currency-Linked Securities
|
34-56332 |
Aug. 29, 2007 |
Notice of Filing of Proposed Rule Change Relating to Requirements for Listing of Commodity-Linked Securities and Currency-Linked Securities
Comments due: September 21, 2007
|
SR-NYSE-2007-75 |
34-56290 |
Aug. 20, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adjust the Earnings of Companies for Purposes of its Earnings Standard by Reversing the Income Statement Effects of Changes in Fair Value of Financial Instruments Extinguished at the Time of Listing on a Six Month Pilot Basis
Comments due: September 17, 2007
|
SR-NYSE-2007-74 |
34-56271 |
Aug. 16, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Amend Sections 703.22 and 802.01D of the Exchange’s Listed Company Manual Regarding the Listing and Trading of Index-Linked Securities
Comments due: September 12, 2007
|
SR-NYSE-2007-71 |
34-56195 |
Aug. 2, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Exclude from its Earnings Standard Gains or Losses from Extinguishment of Debt Prior to Maturity on a Six Month Pilot Basis
Comments due: August 30, 2007
|
SR-NYSE-2007-70 |
34-56181 |
Aug. 1, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Amend the Gross FOCUS Fee
Comments due: August 28, 2007
|
SR-NYSE-2007-69 |
34-56169 |
Jul. 30, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Information Memorandum That Reflects the Changes to Disciplinary Proceedings at NYSE Regulation, Inc. as a Result of the Regulatory Consolidation with the National Association of Securities Dealers, Inc.
Comments due: August 24, 2007
|
SR-NYSE-2007-67 |
34-56654 |
Oct. 12, 2007 |
Order Approving Proposed Rule Change Relating to NYSE Rule 2 ("Member," "Membership," "Member Firm," etc.)
|
34-56173 |
Jul. 31, 2007 |
Notice of Filing of Proposed Rule Change Relating to NYSE Rule 2 ("Member," "Membership," "Member Firm," etc.)
Comments due: August 28, 2007
|
SR-NYSE-2007-65 |
34-56209 |
Aug. 6, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 79A.30 (Miscellaneous Requirements on Stock Market Procedures)
Comments due: September 4, 2007
|
SR-NYSE-2007-64 |
34-58108 |
Jul. 7, 2008 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, relating to Section 31 Accumulated Funds
Comments due: August 4, 2008
Submit comments on SR-NYSE-2007-64
|
SR-NYSE-2007-63 |
34-56088 |
Jul. 18, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 92(d)(6), Limitations on Members’ Trading Because of Customers’ Orders
Comments due: August 14, 2007
|
SR-NYSE-2007-62 |
34-57251 |
Feb. 1, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to NYSE Rules 104 (Dealings by Specialists); 111 (Reports of Executions); 123A (Miscellaneous Reports); 123C (Market on the Close Policy and Expiration Procedures); 421 (Periodic Reports); 440B (Short Sales); 440C (Short Sale Borrowing and Delivery Requirements); 440F (Public Short Sale Transactions Effected on the Exchange); 440G (Transactions in Stocks and Warrants for the Accounts of Members, Allied Members and Member Organizations); 902 (Off-Hours Trading Orders); 1000 (Automatic Execution of Limit Orders Against Orders Reflected in NYSE Published Quotation); and 1003 (Application of Tick Tests) Relating to Recent Amendments to Rule 10a-1 and Regulation SHO
Comments due: February 28, 2008
|
SR-NYSE-2007-61 |
34-56024 |
Jul. 6, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 97, Limitation on Members’ Trading Because of Block Positioning
Comments due: August 3, 2007
|
SR-NYSE-2007-60 |
34-56065 |
Jul. 13, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Charge Member Organizations a Routing Fee for Orders Routed to Other Markets for Execution
Comments due: August 9, 2007
|
SR-NYSE-2007-59 |
34-56143 |
Jul. 26, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NYSE Rules 342(c) ("Offices – Approval, Supervision and Control") and 343 ("Offices – Sole Tenancy, Hours, Display of Membership Certificates")
Comments due: August 23, 2007
Comments received are available for this notice.
|
SR-NYSE-2007-58 |
34-55995 |
Jun. 29, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Rule 104.10(6)
Comments due: July 30, 2007
|
SR-NYSE-2007-57 |
34-55992 |
Jun. 29, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Moratorium on the Qualification and Registration of New Registered Competitive Market Makers and New Competitive Traders, Governed by Rules 107A and 110, Respectively, for an Additional Three Months
Comments due: July 30, 2007
|
SR-NYSE-2007-56 |
34-56107 |
Jul. 19, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Extending the Portfolio Margin Pilot Program under NYSE Rules 431 (Margin Requirements) and 726 (Delivery of Options Disclosure Document and Prospectus)
Comments due: August 17, 2007
|
SR-NYSE-2007-55 |
34-56140 |
Jul. 26, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Rule 106 (Specialists’ Contact with Listed Companies and Member Organizations)
Comments due: August 22, 2007
|
SR-NYSE-2007-53 |
34-56854 |
Nov. 28, 2007 |
Order Approving Proposed Rule Change, as Modified by Amendments No. 1 and 2 Thereto, to Amend NYSE Rule 342.13 ("Acceptability of Supervisors")
|
34-56686 |
Oct. 23, 2007 |
Notice of Filing of Proposed Rule Change, as Modified by Amendments No. 1 and 2 Thereto, to Amend NYSE Rule 342.13 ("Acceptability of Supervisors")
Comments due: November 19, 2007
Comments received are available for this notice.
|
SR-NYSE-2007-52 |
34-55974 |
Jun. 28, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Exclude Interest Expense on Financial Instruments Classified Under GAAP as Liabilities from the Exchange’s Earnings Standard
Comments due: July 27, 2007
|
SR-NYSE-2007-51 |
34-55908 |
Jun. 14, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rules 54 ("Dealings on the Floor—Persons") and 70 ("Bids and Offers")
Comments due: July 11, 2007
|
SR-NYSE-2007-50 |
34-55904 |
Jun. 13, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Its Current Revenue Sharing Program for Its Specialists for an Additional Three Months
Comments due: July 11, 2007
|
SR-NYSE-2007-48 |
34-56208 |
Aug. 6, 2007 |
Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to Proposed Amendments to Rule 600 to Provide Guidance Regarding New and Pending Arbitration Claims in Light of the Consolidation of NYSE Regulation into NASD DR
|
34-56015 |
Jul. 5, 2007 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Proposed Amendments to Rule 600 to Provide Guidance Regarding New and Pending Arbitration Claims in Light of the Consolidation of NYSE Regulation into NASD DR
Comments due: August 1, 2007
|
34-55818 |
May 25, 2007 |
Notice of Filing of Proposed Rule Change Relating to Proposed Amendments to Rule 600 to Provide Guidance Regarding New and Pending Arbitration Claims in Light of the Consolidation of NYSE Regulation into NASD DR
Comments due: June 25, 2007
Comments received are available for this notice.
|
SR-NYSE-2007-47 |
34-55852 |
Jun. 4, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Rules 103A and 103B
Comments due: June 29, 2007
|
SR-NYSE-2007-46 |
34-55953 |
Jun. 25, 2007 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of Shares of the HealthShares™ Orthopedic Repair Exchange-Traded Fund
Comments due: July 24, 2007
|
SR-NYSE-2007-44 |
34-55698 |
May 2, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Fees for NYSE Bonds
Comments due: May 30, 2007
|
SR-NYSE-2007-42 |
34-56392 |
Sep. 12, 2007 |
Order Granting Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to Rule 103B ("Specialist Stock Allocation")
|
34-56183 |
Aug. 2, 2007 |
Notice of Filing of Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to Rule 103B ("Specialist Stock Allocation")
Comments due: August 29, 2007
|
SR-NYSE-2007-41 |
34-55670 |
Apr. 25, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate the Securities Manager Examination ("Series 12")
Comments due: May 23, 2007
Comments received are available for this notice.
|
SR-NYSE-2007-39 |
34-55641 |
Apr. 17, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Rule 103B (Specialist Stock Allocation)
Comments due: May 15, 2007
|
SR-NYSE-2007-37 |
34-55780 |
May 17, 2007 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Generic Listing Standards for Series of Investment Company Units based on Fixed Income Indexes and Order Granting Accelerated Approval of Proposed Rule Change as Amended
Comments due: June 7, 2007
|
SR-NYSE-2007-36 |
34-55574 |
Apr. 3, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Section 802.01C of the Listed Company Manual, Clarifying that the Exchange Uses the Closing Price Reported on the Consolidated Tape to Determine Compliance with Its Price Test
Comments due: May 1, 2007
|
SR-NYSE-2007-35 |
34-55567 |
Apr. 2, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Technical Amendments to the Amended and Restated Certificate of Incorporation of NYSE Euronext
Comments due: May 1, 2007
|
SR-NYSE-2007-34 |
34-55793 |
May 22, 2007 |
Order Approving Proposed Rule Change to Amend NYSE Rule 80A.40(b) to Update the Definition of "Program Trading," to Substitute Simplified Audit Trail Requirements, and to Make Conforming Amendments to NYSE Rule 410B
|
34-55615 |
Apr. 11, 2007 |
Notice of Filing of Proposed Rule Change to Amend NYSE Rule 80A.40(b) to Update the Definition of "Program Trading," to Substitute Simplified Audit Trail Requirements, and to Make Conforming Amendments to NYSE Rule 410B
Comments due: May 8, 2007
|
SR-NYSE-2007-32 |
34-55618 |
Apr. 11, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, and Amendment No. 1 Thereto, Relating to Rule 15B(T) (Protected Bids and Offers of Away Markets)
Comments due: May 9, 2007
|
SR-NYSE-2007-31 |
34-55543 |
Mar. 27, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 60 to Allow the Exchange to Identify its Quotation as Slow Non-Firm During the Manual Reporting of a Block-Sized Transaction
Comments due: April 24, 2007
|
SR-NYSE-2007-30 |
34-55537 |
Mar. 27, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 123D (Openings and Halts In Trading)
Comments due: April 23, 2007
|
SR-NYSE-2007-29 |
34-55590 |
Apr. 5, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Rules 13 ("Definitions of Orders") and 17 ("Use of Exchange Facilities")
Comments due: May 4, 2007
|
SR-NYSE-2007-28 |
34-55796 |
May 22, 2007 |
Order Granting Approval to Proposed Rule Change to Exempt Limited Partnerships from Certain of its Shareholder Approval Rules
|
34-55528 |
Mar. 26, 2007 |
Notice of Filing of Proposed Rule Change to Exempt Limited Partnerships from Certain of its Shareholder Approval Rules
Comments due: April 23, 2007
|
SR-NYSE-2007-27 |
34-55687 |
May 1, 2007 |
Notice of Filing of Amendment No. 3 to Proposed Rule Change and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendments No. 1, 2, and 3 Thereto, to Adopt Generic Listing Standards for Index-Linked Securities
Comments due: May 29, 2007
|
34-55600 |
Apr. 9, 2007 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Adopt Generic Listing Standards for Index-Linked Securities
Comments due: April 30, 2007
|
SR-NYSE-2007-25 |
34-55398 |
Mar. 5, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 123D (Openings and Halts In Trading)
Comments due: April 2, 2007
|
SR-NYSE-2007-24 |
34-55768 |
May 15, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Rule 13 (Definitions of Orders) to Establish the New Order Type Called Do Not Ship
Comments due: June 11, 2007
|
SR-NYSE-2007-23 |
34-55387 |
Mar. 2, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 15A.50 Clarifying the Circumstances Under Which the Exchange Will Automatically Route Orders to Other Market Centers to Prevent Trade-Throughs, and Rename Rule 15A
Comments due: March 30, 2007
|
SR-NYSE-2007-22 |
34-56142 |
Jul. 26, 2007 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Harmonization of NYSE and NASD Regulatory Standards, the Updating of Certain NYSE Terminology, and the Reorganization and Clarification of Certain NYSE Rules in Connection with the Harmonization Process
Comments due: August 22, 2007
Comments received are available for this notice.
Submit comments on SR-NYSE-2007-22
|
SR-NYSE-2007-21 |
34-56017 |
Jul. 5, 2007 |
Order Granting Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 Thereto Relating to Rule 92 (Limitations on Members’ Trading Because of Customers’ Orders)
Comments due: August 2, 2007
|
34-55804 |
May 23, 2007 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Rule 92 (Limitations on Members’ Trading Because of Customers’ Orders)
Comments due: June 21, 2007
Comments received are available for this notice.
|
SR-NYSE-2007-20 |
34-55448 |
Mar. 12, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete from Section 804.00 of the Exchange’s Listed Company Manual Text that has been Superseded
Comments due: April 9, 2007
|
SR-NYSE-2007-19 |
34-55742 |
May 10, 2007 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change as Modified by Amendment No. 1 Relating to the Waiver of Certain Listing Fees
Comments due: June 7, 2007
|
34-55421 |
Mar. 8, 2007 |
Notice of Filing of Proposed Rule Change to Waive Certain Listing Fees
Comments due: April 4, 2007
|
SR-NYSE-2007-18 |
34-55462 |
Mar. 13, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Linkage Order Fee
Comments due: April 11, 2007
|
SR-NYSE-2007-17 |
34-55314 |
Feb. 20, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide That There Be No Initial Listing Fee Payable for Any Equity Security, Structured Product or Closed-End Management Investment Company That Transfers from Another National Securities Exchange
Comments due: March 20, 2007
|
SR-NYSE-2007-16 |
34-55439 |
Mar. 9, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate the Individual Investor Express Delivery Service
Comments due: April 6, 2007
|
SR-NYSE-2007-15 |
34-55656 |
Apr. 23, 2007 |
Order Approving Proposed Rule Change Regarding the Amendment of NYSE Rule 300 Relating to Trading Licenses
|
34-55345 |
Feb. 26, 2007 |
Notice of Filing of a Proposed Rule Change Regarding the Amendment of NYSE Rule 300 Relating to Trading Licenses
Comments due: March 26, 2007
|
SR-NYSE-2007-14 |
34-55316 |
Feb. 20, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Rule 70 (Bids and Offers)
Comments due: March 20, 2007
|
SR-NYSE-2007-013 |
34-56162 |
Jul. 27, 2007 |
Notice of Filing of Proposed Rule on Notification of Fees
Comments due: August 23, 2007
Submit comments on SR-NYSE-2007-013
|
SR-NYSE-2007-12 |
34-55545 |
Mar. 27, 2007 |
Order Granting Accelerated Approval to a Proposed Rule Change as Modified by Amendment No. 1 to Amend Section 703.16 of the NYSE Listed Company Manual to Eliminate Requirement Regarding Index Weighting and Calculation Methodology
|
34-55343 |
Feb. 23, 2007 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Amend Section 703.16 of the NYSE Listed Company Manual to Eliminate Requirement Regarding Index Calculation Methodology
Comments due: March 20, 2007
|
SR-NYSE-2007-11 |
34-55244 |
Feb. 5, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 122 (Orders with More than One Broker) until the availability of full d-Quote functions in a particular security or March 5, 2007, whichever comes first
Comments due: March 6, 2007
|
SR-NYSE-2007-10 |
34-55823 |
May 29, 2007 |
Order Approving Proposed Amendments to Interpretation to Rule 311(b)(5) ("Co-Designation of Principal Executive Officers") as Modified by Amendment No. 1
|
34-55650 |
Apr. 19, 2007 |
Notice of Filing of Proposed Amendments to Interpretation to Rule 311(b)(5) ("Co-Designation of Principal Executive Officers") as Modified by Amendment No. 1
Comments due: May 17, 2007
|
SR-NYSE-2007-09 |
34-56085 |
Jul. 17, 2007 |
Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval to a Proposed Rule Change as Modified by Amendments No. 1, 2, and 3 Thereto Relating to Rule 18 (Compensation in Relation to System Failure)
Comments due: August 14, 2007
|
34-55555 |
Mar. 29, 2007 |
Notice of Filing of Proposed Rule Change as modified by Amendments No. 1 and 2 Thereto Relating to Rule 18 (Compensation in Relation to System Failure)
Comments due: April 26, 2007
Comments received are available for this notice.
|
SR-NYSE-2007-08 |
34-55210 |
Jan. 31, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt New Rule 15B(T) Relating to Intermarket Sweep Orders
Comments due: February 28, 2007
|
SR-NYSE-2007-07 |
34-55281 |
Feb. 12, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of the Crossing Session III and IV Pilot
Comments due: March 13, 2007
|
SR-NYSE-2007-06 |
34-55735 |
May 10, 2007 |
Order Approving Proposed Rule Change to Amend NYSE Rule 440A ("Telephone Solicitations")
|
34-55517 |
Mar. 23, 2007 |
Notice of Filing of Proposed Rule Change to NYSE Rule 440A ("Telephone Solicitations")
Comments due: April 19, 2007
|
SR-NYSE-2007-05 |
34-55218 |
Jan. 31, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Rule 36 (Communication Between Exchange and Members’ Offices)
Comments due: March 1, 2007
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SR-NYSE-2007-04 |
34-57966 |
Jun. 16, 2008 |
Notice of Filing of Amendment Nos. 1 and 2 and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to Approval of Fee for NYSE Real-Time Reference Prices
Comments due: July 11, 2008
Comments received are available for this notice.
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34-55354 |
Feb. 26, 2007 |
Notice of Filing of Proposed Rule Change Relating to Approval of Fee for NYSE Real-Time Trade Prices
Comments due: March 16, 2007
Comments received are available for this notice.
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SR-NYSE-2007-03 |
34-55268 |
Feb. 9, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Regarding CurrencySharesSM Japanese Yen Trust
Comments due: March 13, 2007
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SR-NYSE-2007-02 |
34-55646 |
Apr. 19, 2007 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Adopt New Rule 447 ("Emergency Powers")
Comments due: May 16, 2007
Comments received are available for this notice.
Submit comments on SR-NYSE-2007-02
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SR-NYSE-2007-01 |
34-55536 |
Mar. 27, 2007 |
Order Approving Proposed Rule Change to Amend Listing and Annual Fees Applicable to Investment Company Units, Currency Trust Shares, Commodity Trust Shares and streetTRACKS® Gold Shares
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34-55299 |
Feb. 15, 2007 |
Notice of Filing of Proposed Rule Change to Amend Listing and Annual Fees Applicable to Investment Company Units, Currency Trust Shares, Commodity Trust Shares and streetTRACKS® Gold Shares
Comments due: March 16, 2007
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http://www.sec.gov/rules/sro/nyse/nysearchive/nysearchive2007.shtml
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