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NYSE Rulemaking
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
Second Quarter | First Quarter
NYSE File Number List for 2009
Additional Archives
2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996
| Release No. |
Date |
Details |
| Second Quarter |
SR-NYSE-2009-44 |
| 34-59864 |
May 5, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending a Temporary Equity Transaction Fee for Shares Executed on the NYSE MatchPoint(SM) System, Effective May 1, 2009 Until June 30, 2009
Comments due: 21 days after publication in the Federal Register
 Submit comments on SR-NYSE-2009-44
|
SR-NYSE-2009-31 |
| 34-59844 |
Apr. 29, 2009 |
Order Approving Proposed Rule Change Regarding Initial and Annual Listing Fees for Securities Listed and Traded on the NYSE Bonds System
See also: Notice: Rel. No. 34-59608
|
SR-NYSE-2009-40 |
| 34-59823 |
Apr. 27, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending the Exchange’s Timely Alert Policy
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-NYSE-2009-40
|
SR-NYSE-2009-41 |
| 34-59815 |
Apr. 23, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rules 15 and 123C Regarding the Operation of its NYSE Order Imbalance Information Service to Modify the Reference Price at Which the Exchange Reports the Order Imbalance Information and Clarify what Information is Included and Excluded from the Order Imbalance Information Reports
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-NYSE-2009-41
|
SR-NYSE-2009-42 |
| 34-59791 |
Apr. 20, 2009 |
Notice of Filing of Proposed Rule Change Implementing the NYSE Realtime Reference Price Service on a Permanent Basis
Comments due: May 15, 2009
Submit comments on SR-NYSE-2009-42
|
SR-NYSE-2009-18 |
| 34-59755 |
Apr. 13, 2009 |
Order Granting Approval of Proposed Rule Changes Amending Rule 123C to Provide the Exchanges with the Ability to Temporarily Suspend Certain Requirements Relating to the Closing of Securities on the Exchange
See also: Notice: Rel. No. 34-59489
Additional File No.: SR-NYSEALTR-2009-15
|
SR-NYSE-2009-08 |
| 34-59746 |
Apr. 10, 2009 |
Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Rescinding NYSE Rule 110 Which Establishes the Role of Competitive Traders and Exchange Rule 107A Which Establishes the Role of the Registered Competitive Market Makers
Comments due: May 7, 2009
Comments received are available for this notice.
Submit comments on SR-NYSE-2009-08
|
SR-NYSE-2009-39 |
| 34-59710 |
Apr. 6, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Revised Liquidity Credits for Supplemental Liquidity Providers
Comments due: May 5, 2009
Submit comments on SR-NYSE-2009-39
|
SR-NYSE-2009-32 |
| 34-59684 |
Apr. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC to Extend until August 31, 2009, the Application of the NYSE Arca Transfer Standard
Comments due: April 29, 2009
Submit comments on SR-NYSE-2009-32
|
SR-NYSE-2009-12 |
| 34-59683 |
Apr. 1, 2009 |
Order Approving a Proposed Rule Change Amending Its Limited Liability Company Operating Agreement and the Bylaws of Its Wholly-Owned Subsidiary NYSE Market, Inc. to Eliminate, in Each Case, a Requirement That Not Less than Two Members of the Board of Directors Must Qualify as “Non-Affiliated Directors” and a Related Requirement That Not Less than Two Members of the Board of Directors Must Qualify as “Fair Representation Candidates”
See also: Notice: Rel. No. 34-59400
|
SR-NYSE-2009-37 |
| 34-59681 |
Apr. 1, 2009 |
Notice of Filing of Proposed Rule Change Implementing a Cap on Vendors’ Administrative Charges for NYSE OpenBook
Comments due: April 29, 2009
Submit comments on SR-NYSE-2009-37
|
SR-NYSE-2009-38 |
| 34-59677 |
Apr. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise Transaction Fees for the New York Block Exchange
Comments due: April 28, 2009
Submit comments on SR-NYSE-2009-38
|
| First Quarter |
SR-NYSE-2009-35 |
| 34-59666 |
Mar. 31, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending Rule 48.10 to Extend the Temporary Provisions of the Rule Relating to the Ability of the Exchange to Declare an Extreme Market Volatility Condition and Suspend Certain NYSE Requirements Relating to the Closing of Securities at the Exchange
Comments due: April 28, 2009
Submit comments on SR-NYSE-2009-35
|
SR-NYSE-2009-36 |
| 34-59659 |
Mar. 31, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending to September 1, 2009, the Operative Date of New York Stock Exchange Rule 2 Requirement that NYSE-Only Member Organizations Apply for and be Approved as a Member of the Financial Industry Regulatory Authority, Inc.
Comments due: April 27, 2009
Submit comments on SR-NYSE-2009-36
|
SR-NYSE-2009-25 |
| 34-59655 |
Mar. 30, 2009 |
Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC, as modified by Amendment No. 2, Changing Certain NYSE Rules and Rule Interpretations to Harmonize Them with Changes to Corresponding Rules Recently Filed by the Financial Industry Regulatory Authority, Inc.
Comments due: April 27, 2009
Submit comments on SR-NYSE-2009-25
|
SR-NYSE-2009-34 |
| 34-59653 |
Mar. 30, 2009 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto to Extend the Pilot Period for the NYSE Realtime Reference Prices Pilot Program
Comments due: April 27, 2009
Submit comments on SR-NYSE-2009-34
|
SR-NYSE-2009-33 |
| 34-59626 |
Mar. 25, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Wireless Data Communications Initiatives and Codifying the Wireless Policy
Comments due: April 22, 2009
Submit comments on SR-NYSE-2009-33
|
SR-NYSE-2009-30 |
| 34-59621 |
Mar. 23, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operative Date of NYSE Rule 92(c)(3) from March 31, 2009 to July 31, 2009
Comments due: April 20, 2009
Submit comments on SR-NYSE-2009-30
|
SR-NYSE-2009-27 |
| 34-59613 |
Mar. 20, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 124 to Execute the Odd-Lot Portion of a Part of a Round-Lot Order Pursuant to the Same Pricing Methodology Used for Odd-Lot Orders
Comments due: April 17, 2009
Comments received are available for this notice.
Submit comments on SR-NYSE-2009-27
|
SR-NYSE-2009-31 |
| 34-59608 |
Mar. 19, 2009 |
Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Amending the Listed Company Manual Section 902.08 to Establish an Initial Listing Fee and an Annual Listing Fee for Securities Listed Under Section 102.03 and Traded on the NYSE Bonds System
Comments due: April 16, 2009
See also: Order: Rel. No. 34-59844
|
SR-NYSE-2009-04 |
| 34-59606 |
Mar. 19, 2009 |
Order Approving Proposed Rule Change to Establish Fees for NYSE Trades
See also: Notice: Rel. No. 34-59309
|
SR-NYSE-2009-29 |
| 34-59592 |
Mar. 17, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Rule Book to Delete References to Specific Exchange Systems and to Remove the Requirement that Opening Transactions Receive Specific Designations Pursuant to NYSE Rules 79A and 115A
Comments due: April 14, 2009
Submit comments on SR-NYSE-2009-29
|
SR-NYSE-2009-26 |
| 34-59581 |
Mar. 16, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending Until June 9, 2009, the Operation of Interim NYSE Rule 128 Which Permits the Exchange to Cancel or Adjust Clearly Erroneous Executions if they Arise Out of the Use or Operation of Any Quotation, Execution or Communication System Owned or Operated by the Exchange, Including those Executions that Occur in the Event of a System Disruption or System Malfunction
Comments due: April 14, 2009
Submit comments on SR-NYSE-2009-26
|
SR-NYSE-2009-28 |
| 34-59570 |
Mar. 12, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending NYSE Rules 13, 902, 903, 904, 905 and Rule 906 to Eliminate Certain Order Types From the Off-Hours Trading Facility
Comments due: April 9, 2009
Submit comments on SR-NYSE-2009-28
|
SR-NYSE-2009-24 |
| 34-59551 |
Mar. 10, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending for Two Months to May 31, 2009 the Moratorium Related to the Qualification and Registration of Registered Competitive Market Makers Pursuant to NYSE Rule 107A and Competitive Traders Pursuant to NYSE Rule 110
Comments due: April 8, 2009
Submit comments on SR-NYSE-2009-24
|
SR-NYSE-2009-03 |
| 34-59559 |
Mar. 11, 2009 |
Order Approving Proposed Rule Change to Adopt Listing Fees for Securities Listed under Section 703.21 and 703.22 and Traded on NYSE Bonds
See also: Notice: Rel. No. 34-59313
|
SR-NYSE-2008-131 |
| 34-59544 |
Mar. 9, 2009 |
Order Approving Proposed Rule Change to Introduce a NYSE OpenBook Nonprofessional Subscriber Fee and to Revise the Unit of Count that Determines the Device Fees Payable by Data Recipients
See also: Notice: Rel. No. 34-59198
|
SR-NYSE-2008-132 |
| 34-59543 |
Mar. 9, 2009 |
Order Approving Proposed Rule Change to Introduce a NYSE Order Imbalance Information Fee
See also: Notice: Rel. No. 34-59202
|
SR-NYSE-2009-21 |
| 34-59510 |
Mar. 4, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC to Temporarily Suspend its Price Continued Listing Standard and Extend the Period of the Temporary Lowering of its Average Global Market Capitalization Continued Listing Standard
Comments due: April 1, 2009
Submit comments on SR-NYSE-2009-21
|
SR-NYSE-2009-20 |
| 34-59491 |
Mar. 3, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending a Temporary Equity Transaction Fee for Shares Executed on the NYSE MatchPointSM System, Effective March 1, 2009 until April 30, 2009
Comments due: March 30, 2009
Submit comments on SR-NYSE-2009-20
|
SR-NYSE-2009-18 |
| 34-59489 |
Mar. 3, 2009 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Amending Rule 123C to Provide the Exchange with the Ability to Temporarily Suspend Certain NYSE Requirements Relating to the Closing of Securities at the Exchange
Comments due: March 31, 2009
See also: Order: Rel. No. 34-59755
|
SR-NYSE-2009-16 |
| 34-59486 |
Mar. 2, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend NYSE Rule 17 to Address Issues Related to Vendor Liability and to Make Amendments and Conforming Changes to NYSE Rule 18
Comments due: March 30, 2009
Submit comments on SR-NYSE-2009-16
|
SR-NYSE-2009-22 |
| 34-59483 |
Mar. 2, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Certain Equity Transaction Fees and Rebates
Comments due: March 31, 2009
Submit comments on SR-NYSE-2009-22
|
SR-NYSE-2009-23 |
| 34-59479 |
Mar. 2, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Adopting New NYSE Rule 6A and Amending Existing NYSE Rule 36 Concerning the Use of Personal Portable or Wireless Communication Devices and the Use or Possession of Wireless Trading Devices On and Off the Exchange Trading Floor
Comments due: March 31, 2009
Submit comments on SR-NYSE-2009-23
|
SR-NYSE-2009-19 |
| 34-59469 |
Feb. 27, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 300.10T to Provide a Grace Period Under that Rule for NYSE Alternext US LLC Member Organizations that have Applied for a Trading License to Comply with Certain Exchange Rules
Comments due: March 26, 2009
Submit comments on SR-NYSE-2009-19
|
SR-NYSE-2006-92 |
| 34-59464 |
Feb. 26, 2009 |
Notice of Filing of Proposed Rule Change, as modified by Amendment No. 4, to Amend NYSE Rule 452 and Listed Company Manual Section 402.08 to Eliminate Broker Discretionary Voting for the Election of Directors and Codify Two Previously Published Interpretations That Do Not Permit Broker Discretionary Votes for Material Amendments to Investment Advisory Contracts
Comments due: March 27, 2009
Comments received are available for this notice.
Submit comments on SR-NYSE-2006-92
|
SR-NYSE-2009-14 |
| 34-59450 |
Feb. 25, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by New York Stock Exchange LLC Amending NYSE Rule 472 (Communications with the Public)
Comments due: March 25, 2009
|
SR-NYSE-2009-17 |
| 34-59446 |
Feb. 25, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Eliminating the Ability to Enter Orders on the Exchange with the Settlement Instructions of “Cash”, “Next Day” and “Seller’s Option”
Comments due: March 24, 2009
|
SR-NYSE-2009-15 |
| 34-59430 |
Feb. 20, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Fee for Its New Risk Management Gateway Service
Comments due: March 20, 2009
|
SR-NYSE-2009-13 |
| 34-59415 |
Feb. 18, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending Certain NYSE Rules to Reflect that Designated Market Makers on the Exchange No Longer Act as Agents for Orders Entered on the Exchange
Comments due: March 18, 2009
|
SR-NYSE-2009-12 |
| 34-59400 |
Feb. 12, 2009 |
Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Amending Its Limited Liability Company Operating Agreement and the Bylaws of Its Wholly-Owned Subsidiary NYSE Market, Inc. to Eliminate, in Each Case, a Requirement That Not Less than Two Members of the Board of Directors must Qualify as “Non-Affiliated Directors” and a Related Requirement That Not Less than Two Members of the Board of Directors Must Qualify as “Fair Representation Candidates”
Comments due: March 13, 2009
See also: Order: Rel. No. 34-59683
|
SR-NYSE-2009-07 |
| 34-59383 |
Feb. 11, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 123E (“DMM Combination Review Policy”) to be More Consistent with the Exchange’s Current Designated Market Maker (“DMM”) System
Comments due: March 13, 2009
|
SR-NYSE-2008-101 |
| 34-59354 |
Feb. 3, 2009 |
Order Approving Proposed Rule Change to Establish the Risk Management Gateway Service [Corrected]
See also: Notice: Rel. No. 34-59145
|
SR-NYSE-2009-10 |
| 34-59345 |
Feb. 3, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rules 116 and 123C to Create a Single Closing Print to be Reported to the Consolidated Tape for Each Security
Comments due: March 2, 2009
|
SR-NYSE-2009-09 |
| 34-59327 |
Jan. 30, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing an Equity Transaction Fee for Shares Executed on or through the New York Block Exchange Effective Upon Filing with the Commission
Comments due: February 26, 2009
|
SR-NYSE-2008-112 |
| 34-59320 |
Jan. 30, 2009 |
Order Granting Approval of Proposed Rule Change to Discontinue Policy of Prohibiting Transfer Agents from Charging Fees for Issuing Stock Certificates
See also: Notice: Rel. No. 34-59106
|
SR-NYSE-2009-03 |
| 34-59313 |
Jan. 28, 2009 |
Notice of Filing of Proposed Rule Change to Adopt Listing Fees for Securities Listed under Section 703.21 and 703.22 and Traded on NYSE Bonds
Comments due: February 25, 2009
See also: Order: Rel. No. 34-59559
|
SR-NYSE-2009-04 |
| 34-59309 |
Jan. 28, 2009 |
Notice of Filing of Proposed Rule Change to Establish Fees for NYSE Trades
Comments due: February 25, 2009
See also: Order: Rel. No. 34-59606
|
SR-NYSE-2009-06 |
| 34-59299 |
Jan. 27, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC to Temporarily Lower its Average Global Market Capitalization Continued Listing Standard
Comments due: February 20, 2009
|
SR-NYSE-2009-05 |
| 34-59290 |
Jan. 23, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Introduce a Pilot Program for NYSE Trades
Comments due: February 20, 2009
|
SR-NYSE-2008-119 |
| 34-59282 |
Jan. 22, 2009 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, to Establish Trading Rules for the New York Block Exchange
Comments due: February 18, 2009
See also: Notice: Rel. No. 34-58969
|
SR-NYSE-2008-120 |
| 34-59281 |
Jan. 22, 2009 |
Order Approving Proposed Rule Change Relating to the Limited Liability Company Agreement of New York Block Exchange, a Facility of NYSE
See also: Notice: Rel. No. 34-58970
|
SR-NYSE-2009-02 |
| 34-59255 |
Jan. 15, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending Until March 9, 2009, the Operation of Interim NYSE Rule 128 Which Permits the Exchange to Cancel or Adjust Clearly Erroneous Executions if They Arise Out of the Use or Operation of Any Quotation, Execution or Communication System Owned or Operated by the Exchange, Including Those Executions That Occur in the Event of a System Disruption or System Malfunction
Comments due: February 17, 2009
|
SR-NYSE-2008-143 |
| 34-59231 |
Jan. 12, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 103B (“Security Allocation and Reallocation”) to: 1) Prohibit DMM Units from Communicating with Issuers After Receipt of Notice from the Exchange of the Issuer’s Impending Listing; 2) Provide DMM Unit Marketing Materials to the Issuer Prior to the Scheduled Interview Rather than the Day Before; and 3) Allow An Issuer Transferring from NYSE Alternext US LLC to the NYSE to Retain its DMM Unit if such DMM Unit is An Approved and Registered DMM on the NYSE
Comments due: February 6, 2009
|
SR-NYSE-2009-01 |
| 34-59229 |
Jan. 12, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Adopting a Temporary Equity Transaction Fee for Shares Executed on the NYSE MatchPointSM System, Effective Upon Filing with the Securities and Exchange Commission until February 28, 2009
Comments due: February 6, 2009
|
SR-NYSE-2008-138 |
| 34-59217 |
Jan. 8, 2009 |
Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC to Memorialize an Interpretation of the Listed Company Manual Concerning Shareholder Approval Requirements and to Describe a Certain Application of its Audit Committee Rule
Comments due: February 6, 2009
Submit comments on SR-NYSE-2008-138
|
SR-NYSE-2008-134 |
| 34-59207 |
Jan. 6, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 1500 ("MatchPoint") to Clarify the Functionality of the Intra-Day Matching Sessions in Relation to Order Entry, Correction and Cancellation Capabilities, and When the MatchPoint System Cancels Unexecuted Orders Back to the User and Disseminates Intra-Day and After Hours Trade Reports
Comments due: February 3, 2009
|
SR-NYSE-2008-132 |
| 34-59202 |
Jan. 6, 2009 |
Notice of Filing of Proposed Rule Change to Introduce a NYSE Order Imbalance Information Fee
Comments due: February 3, 2009
See also: Order: Rel. No. 34-59543
|
SR-NYSE-2008-131 |
| 34-59198 |
Jan. 5, 2009 |
Notice of Filing of Proposed Rule Change to Introduce a NYSE OpenBook® Nonprofessional Subscriber Fee and to Revise the Unit of Count that Determines the Device Fees Payable by Data Recipients
Comments due: February 2, 2009
See also: Order: Rel. No. 34-59544
Comments received are available for this notice.
|
| Release No. |
Date |
Details |
SR-NYSE-2009-44 |
| 34-59864 |
May 5, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending a Temporary Equity Transaction Fee for Shares Executed on the NYSE MatchPoint(SM) System, Effective May 1, 2009 Until June 30, 2009
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-NYSE-2009-44
|
SR-NYSE-2009-42 |
| 34-59791 |
Apr. 20, 2009 |
Notice of Filing of Proposed Rule Change Implementing the NYSE Realtime Reference Price Service on a Permanent Basis
Comments due: May 15, 2009
Submit comments on SR-NYSE-2009-42
|
SR-NYSE-2009-41 |
| 34-59815 |
Apr. 23, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rules 15 and 123C Regarding the Operation of its NYSE Order Imbalance Information Service to Modify the Reference Price at Which the Exchange Reports the Order Imbalance Information and Clarify what Information is Included and Excluded from the Order Imbalance Information Reports
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-NYSE-2009-41
|
SR-NYSE-2009-40 |
| 34-59823 |
Apr. 27, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending the Exchange’s Timely Alert Policy
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-NYSE-2009-40
|
SR-NYSE-2009-39 |
| 34-59710 |
Apr. 6, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Revised Liquidity Credits for Supplemental Liquidity Providers
Comments due: May 5, 2009
Submit comments on SR-NYSE-2009-39
|
SR-NYSE-2009-38 |
| 34-59677 |
Apr. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise Transaction Fees for the New York Block Exchange
Comments due: April 28, 2009
Submit comments on SR-NYSE-2009-38
|
SR-NYSE-2009-37 |
| 34-59681 |
Apr. 1, 2009 |
Notice of Filing of Proposed Rule Change Implementing a Cap on Vendors’ Administrative Charges for NYSE OpenBook
Comments due: April 29, 2009
Submit comments on SR-NYSE-2009-37
|
SR-NYSE-2009-36 |
| 34-59659 |
Mar. 31, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending to September 1, 2009, the Operative Date of New York Stock Exchange Rule 2 Requirement that NYSE-Only Member Organizations Apply for and be Approved as a Member of the Financial Industry Regulatory Authority, Inc.
Comments due: April 27, 2009
Submit comments on SR-NYSE-2009-36
|
SR-NYSE-2009-35 |
| 34-59666 |
Mar. 31, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending Rule 48.10 to Extend the Temporary Provisions of the Rule Relating to the Ability of the Exchange to Declare an Extreme Market Volatility Condition and Suspend Certain NYSE Requirements Relating to the Closing of Securities at the Exchange
Comments due: April 28, 2009
Submit comments on SR-NYSE-2009-35
|
SR-NYSE-2009-34 |
| 34-59653 |
Mar. 30, 2009 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto to Extend the Pilot Period for the NYSE Realtime Reference Prices Pilot Program
Comments due: April 27, 2009
Submit comments on SR-NYSE-2009-34
|
SR-NYSE-2009-33 |
| 34-59626 |
Mar. 25, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Wireless Data Communications Initiatives and Codifying the Wireless Policy
Comments due: April 22, 2009
Submit comments on SR-NYSE-2009-33
|
SR-NYSE-2009-32 |
| 34-59684 |
Apr. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC to Extend until August 31, 2009, the Application of the NYSE Arca Transfer Standard
Comments due: April 29, 2009
Submit comments on SR-NYSE-2009-32
|
SR-NYSE-2009-31 |
| 34-59844 |
Apr. 29, 2009 |
Order Approving Proposed Rule Change Regarding Initial and Annual Listing Fees for Securities Listed and Traded on the NYSE Bonds System
|
| 34-59608 |
Mar. 19, 2009 |
Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Amending the Listed Company Manual Section 902.08 to Establish an Initial Listing Fee and an Annual Listing Fee for Securities Listed Under Section 102.03 and Traded on the NYSE Bonds System
Comments due: April 16, 2009
|
SR-NYSE-2009-30 |
| 34-59621 |
Mar. 23, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operative Date of NYSE Rule 92(c)(3) from March 31, 2009 to July 31, 2009
Comments due: April 20, 2009
Submit comments on SR-NYSE-2009-30
|
SR-NYSE-2009-29 |
| 34-59592 |
Mar. 17, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Rule Book to Delete References to Specific Exchange Systems and to Remove the Requirement that Opening Transactions Receive Specific Designations Pursuant to NYSE Rules 79A and 115A
Comments due: April 14, 2009
Submit comments on SR-NYSE-2009-29
|
SR-NYSE-2009-28 |
| 34-59570 |
Mar. 12, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending NYSE Rules 13, 902, 903, 904, 905 and Rule 906 to Eliminate Certain Order Types From the Off-Hours Trading Facility
Comments due: April 9, 2009
Submit comments on SR-NYSE-2009-28
|
SR-NYSE-2009-27 |
| 34-59613 |
Mar. 20, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 124 to Execute the Odd-Lot Portion of a Part of a Round-Lot Order Pursuant to the Same Pricing Methodology Used for Odd-Lot Orders
Comments due: April 17, 2009
Comments received are available for this notice.
Submit comments on SR-NYSE-2009-27
|
SR-NYSE-2009-26 |
| 34-59581 |
Mar. 16, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending Until June 9, 2009, the Operation of Interim NYSE Rule 128 Which Permits the Exchange to Cancel or Adjust Clearly Erroneous Executions if they Arise Out of the Use or Operation of Any Quotation, Execution or Communication System Owned or Operated by the Exchange, Including those Executions that Occur in the Event of a System Disruption or System Malfunction
Comments due: April 14, 2009
Submit comments on SR-NYSE-2009-26
|
SR-NYSE-2009-25 |
| 34-59655 |
Mar. 30, 2009 |
Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC, as modified by Amendment No. 2, Changing Certain NYSE Rules and Rule Interpretations to Harmonize Them with Changes to Corresponding Rules Recently Filed by the Financial Industry Regulatory Authority, Inc.
Comments due: April 27, 2009
Submit comments on SR-NYSE-2009-25
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SR-NYSE-2009-24 |
| 34-59551 |
Mar. 10, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending for Two Months to May 31, 2009 the Moratorium Related to the Qualification and Registration of Registered Competitive Market Makers Pursuant to NYSE Rule 107A and Competitive Traders Pursuant to NYSE Rule 110
Comments due: April 8, 2009
Submit comments on SR-NYSE-2009-24
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SR-NYSE-2009-23 |
| 34-59479 |
Mar. 2, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Adopting New NYSE Rule 6A and Amending Existing NYSE Rule 36 Concerning the Use of Personal Portable or Wireless Communication Devices and the Use or Possession of Wireless Trading Devices On and Off the Exchange Trading Floor
Comments due: March 31, 2009
Submit comments on SR-NYSE-2009-23
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SR-NYSE-2009-22 |
| 34-59483 |
Mar. 2, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Certain Equity Transaction Fees and Rebates
Comments due: March 31, 2009
Submit comments on SR-NYSE-2009-22
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SR-NYSE-2009-21 |
| 34-59510 |
Mar. 4, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC to Temporarily Suspend its Price Continued Listing Standard and Extend the Period of the Temporary Lowering of its Average Global Market Capitalization Continued Listing Standard
Comments due: April 1, 2009
Submit comments on SR-NYSE-2009-21
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SR-NYSE-2009-20 |
| 34-59491 |
Mar. 3, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending a Temporary Equity Transaction Fee for Shares Executed on the NYSE MatchPointSM System, Effective March 1, 2009 until April 30, 2009
Comments due: March 30, 2009
Submit comments on SR-NYSE-2009-20
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SR-NYSE-2009-19 |
| 34-59469 |
Feb. 27, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 300.10T to Provide a Grace Period Under that Rule for NYSE Alternext US LLC Member Organizations that have Applied for a Trading License to Comply with Certain Exchange Rules
Comments due: March 26, 2009
Submit comments on SR-NYSE-2009-19
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SR-NYSE-2009-18 |
| 34-59755 |
Apr. 13, 2009 |
Order Granting Approval of Proposed Rule Changes Amending Rule 123C to Provide the Exchanges with the Ability to Temporarily Suspend Certain Requirements Relating to the Closing of Securities on the Exchange
Additional File No.: SR-NYSEALTR-2009-15
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| 34-59489 |
Mar. 3, 2009 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Amending Rule 123C to Provide the Exchange with the Ability to Temporarily Suspend Certain NYSE Requirements Relating to the Closing of Securities at the Exchange
Comments due: March 31, 2009
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SR-NYSE-2009-17 |
| 34-59446 |
Feb. 25, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Eliminating the Ability to Enter Orders on the Exchange with the Settlement Instructions of “Cash”, “Next Day” and “Seller’s Option”
Comments due: March 24, 2009
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SR-NYSE-2009-16 |
| 34-59486 |
Mar. 2, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend NYSE Rule 17 to Address Issues Related to Vendor Liability and to Make Amendments and Conforming Changes to NYSE Rule 18
Comments due: March 30, 2009
Submit comments on SR-NYSE-2009-16
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SR-NYSE-2009-15 |
| 34-59430 |
Feb. 20, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Fee for Its New Risk Management Gateway Service
Comments due: March 20, 2009
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SR-NYSE-2009-14 |
| 34-59450 |
Feb. 25, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by New York Stock Exchange LLC Amending NYSE Rule 472 (Communications with the Public)
Comments due: March 25, 2009
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SR-NYSE-2009-13 |
| 34-59415 |
Feb. 18, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending Certain NYSE Rules to Reflect that Designated Market Makers on the Exchange No Longer Act as Agents for Orders Entered on the Exchange
Comments due: March 18, 2009
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SR-NYSE-2009-12 |
| 34-59683 |
Apr. 1, 2009 |
Order Approving a Proposed Rule Change Amending Its Limited Liability Company Operating Agreement and the Bylaws of Its Wholly-Owned Subsidiary NYSE Market, Inc. to Eliminate, in Each Case, a Requirement That Not Less than Two Members of the Board of Directors Must Qualify as “Non-Affiliated Directors” and a Related Requirement That Not Less than Two Members of the Board of Directors Must Qualify as “Fair Representation Candidates”
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| 34-59400 |
Feb. 12, 2009 |
Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Amending Its Limited Liability Company Operating Agreement and the Bylaws of Its Wholly-Owned Subsidiary NYSE Market, Inc. to Eliminate, in Each Case, a Requirement That Not Less than Two Members of the Board of Directors must Qualify as “Non-Affiliated Directors” and a Related Requirement That Not Less than Two Members of the Board of Directors Must Qualify as “Fair Representation Candidates”
Comments due: March 13, 2009
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SR-NYSE-2009-10 |
| 34-59345 |
Feb. 3, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rules 116 and 123C to Create a Single Closing Print to be Reported to the Consolidated Tape for Each Security
Comments due: March 2, 2009
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SR-NYSE-2009-09 |
| 34-59327 |
Jan. 30, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing an Equity Transaction Fee for Shares Executed on or through the New York Block Exchange Effective Upon Filing with the Commission
Comments due: February 26, 2009
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SR-NYSE-2009-08 |
| 34-59746 |
Apr. 10, 2009 |
Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Rescinding NYSE Rule 110 Which Establishes the Role of Competitive Traders and Exchange Rule 107A Which Establishes the Role of the Registered Competitive Market Makers
Comments due: May 7, 2009
Comments received are available for this notice.
Submit comments on SR-NYSE-2009-08
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SR-NYSE-2009-07 |
| 34-59383 |
Feb. 11, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 123E (“DMM Combination Review Policy”) to be More Consistent with the Exchange’s Current Designated Market Maker (“DMM”) System
Comments due: March 13, 2009
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SR-NYSE-2009-06 |
| 34-59299 |
Jan. 27, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC to Temporarily Lower its Average Global Market Capitalization Continued Listing Standard
Comments due: February 20, 2009
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SR-NYSE-2009-05 |
| 34-59290 |
Jan. 23, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Introduce a Pilot Program for NYSE Trades
Comments due: February 20, 2009
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SR-NYSE-2009-04 |
| 34-59606 |
Mar. 19, 2009 |
Order Approving Proposed Rule Change to Establish Fees for NYSE Trades
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| 34-59309 |
Jan. 28, 2009 |
Notice of Filing of Proposed Rule Change to Establish Fees for NYSE Trades
Comments due: February 25, 2009
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SR-NYSE-2009-03 |
| 34-59559 |
Mar. 11, 2009 |
Order Approving Proposed Rule Change to Adopt Listing Fees for Securities Listed under Section 703.21 and 703.22 and Traded on NYSE Bonds
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| 34-59313 |
Jan. 28, 2009 |
Notice of Filing of Proposed Rule Change to Adopt Listing Fees for Securities Listed under Section 703.21 and 703.22 and Traded on NYSE Bonds
Comments due: February 25, 2009
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SR-NYSE-2009-02 |
| 34-59255 |
Jan. 15, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending Until March 9, 2009, the Operation of Interim NYSE Rule 128 Which Permits the Exchange to Cancel or Adjust Clearly Erroneous Executions if They Arise Out of the Use or Operation of Any Quotation, Execution or Communication System Owned or Operated by the Exchange, Including Those Executions That Occur in the Event of a System Disruption or System Malfunction
Comments due: February 17, 2009
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SR-NYSE-2009-01 |
| 34-59229 |
Jan. 12, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Adopting a Temporary Equity Transaction Fee for Shares Executed on the NYSE MatchPointSM System, Effective Upon Filing with the Securities and Exchange Commission until February 28, 2009
Comments due: February 6, 2009
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http://www.sec.gov/rules/sro/nyse.shtml
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