National Securities Exchanges
We encourage the public to submit comments on the following 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.
National Securities Exchanges Table
|
Release Number
|
File Number
|
SRO Organization
|
Details
|
|
|---|---|---|---|---|
| Release Number:34-80577 | SEC Issue Date:May 2, 2017 | File Number:SR-NYSEMKT-2017-04 | SRO Organization:NYSE MKT (NYSEMKT) |
Details: Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Market Makers Applicable When the Exchange Transitions Trading to Pillar, the Exchange's New Trading Technology Platform View Received Comments See Also - Rel. No. 34-79982, Rel. No. 34-80336 |
| Release Number:34-80550 | SEC Issue Date:Apr 28, 2017 | File Number:SR-NYSEMKT-2016-99 | SRO Organization:NYSE MKT (NYSEMKT) |
Details: Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Amending Rule 104-Equities To Delete Subsection (g)(i)(A)(III) Prohibiting Designated Market Makers From Establishing a New High (Low) Price on the Exchange in a Security the DMM Has a Long (Short) Position During the Last Ten Minutes Prior to the Close of Trading See Also - Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Amending Rule 104 – Equities to Delete Subsection (g)(i)(A)(III) Prohibiting Designated Market Makers from Establishing a New High (Low) Price on the Exchan, Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Rule 104 – Equities to Delete Subsection (g)(i)(A)(III) Prohibiting Designated Market Makers from Establishing a New High (Low) Price on the Exchange in a Secu, Notice of Filing of Proposed Rule Change Amending Rule 104 – Equities to Delete Subsection (g)(i)(A)(III) Prohibiting Designated Market Makers from Establishing a New High (Low) Price on the Exchange in a Security the DMM has a Long (Short) Position Durin |
| Release Number:34-80500 | SEC Issue Date:Apr 21, 2017 | File Number:SR-NYSEMKT-2016-103 | SRO Organization:NYSE MKT (NYSEMKT) |
Details: Notice of Filing of Amendment No. 1 to a Proposed Rule Change Allowing the Exchange To Trade, Pursuant to Unlisted Trading Privileges, Any NMS Stock Listed on Another National Securities Exchange; Establishing Rules for the Trading Pursuant to UTP of Exchange-Traded Products; and Adopting New Equity Trading Rules Relating to Trading Halts of Securities Traded Pursuant to UTP on the Pillar Platform View Received Comments See Also - Exhibit 4, Exhibit 5, Rel. No. 34-80746, Rel. No. 34-80097, Rel. No. 34-79738, Rel. No. 34-79400 |
| Release Number:34-80497 | SEC Issue Date:Apr 20, 2017 | File Number:SR-NYSEMKT-2017-22 | SRO Organization:NYSE MKT (NYSEMKT) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 975NY See Also - Exhibit 5 |
| Release Number:34-80494 | SEC Issue Date:Apr 20, 2017 | File Number:SR-NYSEMKT-2017-21 | SRO Organization:NYSE MKT (NYSEMKT) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 994NY, Broadcast Order Liquidity Delivery Mechanism See Also - Exhibit 5 |
| Release Number:34-80433 | SEC Issue Date:Apr 11, 2017 | File Number:SR-NYSEMKT-2017-19 | SRO Organization:NYSE MKT (NYSEMKT) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Certain of the Initial and Annual Listing Fee Provisions Included in the NYSE MKT Company Guide See Also - Exhibit 5 |
| Release Number:34-80419 | SEC Issue Date:Apr 10, 2017 | File Number:SR-NYSEMKT-2017-17 | SRO Organization:NYSE MKT (NYSEMKT) |
Details: Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Amending the Certificate of Incorporation and Bylaws of Its Ultimate Parent Company, Intercontinental Exchange, Inc. View Received Comments See Also - Exhibit 5a, Exhibit 5b, Rel. No. 34-80752 |
| Release Number:34-80397 | SEC Issue Date:Apr 7, 2017 | File Number:SR-NYSEMKT-2017-18 | SRO Organization:NYSE MKT (NYSEMKT) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Change Amending Its Price List See Also - Exhibit 5 |
| Release Number:34-80375 | SEC Issue Date:Apr 4, 2017 | File Number:SR-NYSEMKT-2017-16 | SRO Organization:NYSE MKT (NYSEMKT) |
Details: Notice of Filing of Proposed Rule Change Amending Rule 36-Equities To Permit Exchange Floor Brokers To Use Non-Exchange Provided Telephones on the Floor View Received Comments See Also - Exhibit 5, Exhibit 5a, Rel. No. 34-80753 |
| Release Number:34-80330 | SEC Issue Date:Mar 29, 2017 | File Number:SR-NYSEMKT-2017-08 | SRO Organization:NYSE MKT (NYSEMKT) |
Details: Order Approving Proposed Rule Change To Amend Rule 925.1NY Regarding Market Maker Quotations, Including To Adopt a Market Maker Light Only Quotation See Also - Rel. No. 34-80073 |