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:34-79587 | SEC Issue Date:Dec 16, 2016 | File Number:SR-NYSEAmex-2011-84, SR-NYSE-2011-55 | SRO Organization:NYSE Amex (NYSEAmex), New York Stock Exchange LLC (NYSE) |
Details: Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS In Connection With the Exchanges' Retail Liquidity Programs Until June 30, 2017 View Received Comments See Also - Rel. No. 34-72732, Rel. No. 34-70085, Rel. No. 34-67347, Rel. No. 34-66928, Rel. No. 34-66464, Rel. No. 34-66346, Rel. No. 34-66003, Rel. No. 34-65672 |
| Release Number:34-72732 | SEC Issue Date:Jul 31, 2014 | File Number:SR-NYSEAmex-2011-84, SR-NYSE-2011-55 | SRO Organization:NYSE Amex (NYSEAmex), New York Stock Exchange LLC (NYSE) |
Details: Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS In Connection With the Exchanges' Retail Liquidity Programs Until March 31, 2015 View Received Comments See Also - Rel. No. 34-79587, Rel. No. 34-70085, Rel. No. 34-67347, Rel. No. 34-66464, Rel. No. 34-66346, Rel. No. 34-65672, Incoming Letter |
| Release Number:34-70085 | SEC Issue Date:Jul 31, 2013 | File Number:SR-NYSEAmex-2011-84, SR-NYSE-2011-55 | SRO Organization:NYSE Amex (NYSEAmex), New York Stock Exchange LLC (NYSE) |
Details: Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS In Connection With the Exchanges' Retail Liquidity Programs View Received Comments See Also - Rel. No. 34-79587, Rel. No. 34-67347, Rel. No. 34-66928, Rel. No. 34-66464, Rel. No. 34-66346, Rel. No. 34-66003, Rel. No. 34-65672, Incoming Letter, Rel. No. 34-65671 |
| Release Number:34-67672 | SEC Issue Date:Aug 15, 2012 | File Number:SR-NYSEAmex-2012-29 | SRO Organization:NYSE Amex (NYSEAmex) |
Details: Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Amending Commentary .07 to NYSE Amex Options Rule 904 To Eliminate Position Limits for Options on the SPDR S&P 500 Exchange-Traded Fund View Received Comments See Also - Rel. No. 34-67278, Rel. No. 34-66984 |
| Release Number:34-67437 | SEC Issue Date:Jul 13, 2012 | File Number:SR-NYSEAmex-2011-86, SR-NYSE-2011-56 | SRO Organization:NYSE Amex (NYSEAmex), New York Stock Exchange LLC (NYSE) |
Details: Order Disapproving Proposed Rule Changes to Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers and to Permit Designated Market Makers and Floor Brokers Access to Disaggregated Order Information See Also - Rel. No. 34-66981, Rel. No. 34-66397, Rel. No. 34-66036, Rel. No. 34-65736 |
| Release Number:34-67421 | SEC Issue Date:Jul 12, 2012 | File Number:SR-NYSEAmex-2012-31 | SRO Organization:NYSE Amex (NYSEAmex) |
Details: Order Approving a Proposed Rule Change Defining a Primary Specialist in Each Options Class and Modifying the Specialist Entitlement Accordingly See Also - Rel. No. 34-67057 |
| Release Number:34-67347 | SEC Issue Date:Jul 3, 2012 | File Number:SR-NYSEAmex-2011-84, SR-NYSE-2011-55 | SRO Organization:NYSE Amex (NYSEAmex), New York Stock Exchange LLC (NYSE) |
Details: Order Granting Approval to Proposed Rule Changes, as Modified by Amendments Nos. 1 and 2, Adopting NYSE Rule 107C To Establish a Retail Liquidity Program for NYSE-Listed Securities on a Pilot Basis Until 12 Months From Implementation Date, and Adopting NYSE Amex Rule 107C To Establish a Retail Liquidity Program for NYSE Amex Equities Traded Securities on a Pilot Basis Until 12 Months From Implementation Date, and Granting Exemptions Pursuant to Rule 612(c) of Regulation NMS View Received Comments See Also - Rel. No. 34-79587, Rel. No. 34-70085, Rel. No. 34-66928, Rel. No. 34-66464, Rel. No. 34-66346, Rel. No. 34-66003, Rel. No. 34-65672, Rel. No. 34-65671 |
| Release Number:34-67314 | SEC Issue Date:Jun 29, 2012 | File Number:SR-NYSEAmex-2012-23 | SRO Organization:NYSE Amex (NYSEAmex) |
Details: Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Amending NYSE Amex Options Rule 928NY Specifying That the Potential Range for the Settings Applicable to the Market Maker Risk Limitation Mechanism Will Be Between One and 100 Executions Per Second, To Eliminate the Current Reference to the Default Setting and, in the Future, To Specify the Applicable Minimum, Maximum and Default Settings via Regulatory Bulletin See Also - Rel. No. 34-66857 |
| Release Number:34-67278 | SEC Issue Date:Jun 27, 2012 | File Number:SR-NYSEAmex-2012-29 | SRO Organization:NYSE Amex (NYSEAmex) |
Details: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Commentary .07 to NYSE Amex Options Rule 904 To Eliminate Position Limits for Options on the SPDR S&P 500 Exchange-Traded Fund Which List and Trade Under the Symbol SPY View Received Comments See Also - Rel. No. 34-67672, Rel. No. 34-66984 |
| Release Number:34-67223 | SEC Issue Date:Jun 20, 2012 | File Number:SR-NYSEAmex-2012-24 | SRO Organization:NYSE Amex (NYSEAmex) |
Details: Order Granting Approval of Proposed Rule Change To List Shares of the Nuveen Long/Short Commodity Total Return Fund Under NYSE Amex Rule 1600 et See Also - Rel. No. 34-66887 |