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:34-66887 | SEC Issue Date:May 1, 2012 | File Number:SR-NYSEAmex-2012-24 | SRO Organization:NYSE Amex (NYSEAmex) |
Details: Notice of Filing of Proposed Rule Change to List Shares of the Nuveen Long/Short Commodity Total Return Fund Under NYSE Amex Rule 1600 et seq. See Also - Rel. No. 34-67223 |
| Release Number:34-66857 | SEC Issue Date:Apr 25, 2012 | File Number:SR-NYSEAmex-2012-23 | SRO Organization:NYSE Amex (NYSEAmex) |
Details: Notice of Filing of Proposed Rule Change 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 - Exhibit 5, Rel. No. 34-67314 |
| Release Number:34-66820 | SEC Issue Date:Apr 17, 2012 | File Number:SR-NYSEAmex-2012-22 | SRO Organization:NYSE Amex (NYSEAmex) |
Details: Notice of Filing of Proposed Rule Change Amending NYSE Amex Equities Rule 107B To Add a Class of Supplemental Liquidity Providers That Are Registered as Market Makers at the Exchange See Also - Exhibit 5, Rel. No. 34-67155 |
| Release Number:34-66809 | SEC Issue Date:Apr 13, 2012 | File Number:SR-NYSEAmex-2012-10 | SRO Organization:NYSE Amex (NYSEAmex) |
Details: Order Granting Approval of a Proposed Rule Change Amending NYSE Amex Rule 476A To Update Its "List of Equities Rule Violations and Fines Applicable Thereto" See Also - Rel. No. 34-66481 |
| Release Number:34-66795 | SEC Issue Date:Apr 12, 2012 | File Number:SR-NYSEAmex-2012-21 | SRO Organization:NYSE Amex (NYSEAmex) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Recent Changes to FINRA Rules 7440 and 7450, and To Adopt Recent Changes to FINRA Rule 5320 by Amending Supplementary Material .02 to NYSE Amex Equities Rule 5320 To Require that Member Organizations Report to the Order Audit Trail System Information Barriers Put Into Place by the Member Organization in Reliance on Supplementary Material .02 to NYSE Amex Equities Rule 5320 See Also - Exhibit 5 |
| Release Number:34-66776 | SEC Issue Date:Apr 10, 2012 | File Number:SR-NYSEAmex-2012-20 | SRO Organization:NYSE Amex (NYSEAmex) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Amendments to Its Price List To Raise the Supplemental Liquidity Provider Rebate and Raise the NYSE Crossing Session II Rate and Fee Cap See Also - Exhibit 5 |
| Release Number:34-66710 | SEC Issue Date:Apr 2, 2012 | File Number:SR-NYSEAMEX-2012-12 | SRO Organization:NYSE Amex (NYSEAmex) |
Details: Order Approving a Proposed Rule Change Amending the NYSE Amex Equities Definition of Approved Person To Exclude Foreign Affiliates, Eliminating the Application Process for Approved Persons, and Making Related Technical and Conforming Changes See Also - Rel. No. 34-66463 |
| Release Number:34-66680 | SEC Issue Date:Mar 29, 2012 | File Number:SR-Phlx-2011-129, SR-NYSEArca-2011-68, SR-NYSEAmex-2011-73, SR-NYSE-2011-48, SR-NSX-2011-11, SR-NASDAQ-2011-131, SR-ISE-2011-61, SR-FINRA-2011-054, SR-EDGX-2011-30, SR-EDGA-2011-31, SR-CHX-2011-30, SR-CBOE-2011-087, SR-C2-2011-024, SR-BYX-2011-025, SR-BX-2011-068, SR-BATS-2011-038 | SRO Organization:NASDAQ OMX PHLX, Nasdaq PHLX LLC (Phlx), NYSE Arca (NYSEARCA), NYSE Amex (NYSEAmex), New York Stock Exchange LLC (NYSE), National Stock Exchange (NSX), The Nasdaq Stock Market LLC (NASDAQ), Nasdaq ISE, LLC (ISE), Financial Industry Regulatory Authority (FINRA), EDGX Exchange (EDGX), EDGA Exchange (EDGA), Chicago Stock Exchange, Inc. (CHX), Cboe Exchange, Inc. (CBOE), Cboe C2 Exchange, Inc. (C2), BATS Y-Exchange (BYX), Nasdaq BX, Inc. (BX), BATS Exchange (BATS) |
Details: Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Disapprove Proposed Rule Changes Relating to Trading Halts Due to Extraordinary Market Volatility View Received Comments See Also - Rel. No. 34-67090, Rel. No. 34-66065, Rel. No. 34-65770, Rel. No. 34-65433, Rel. No. 34-65425, Rel. No. 34-65426, Rel. No. 34-65427, Rel. No. 34-65428, Rel. No. 34-65429, Rel. No. 34-65430, Rel. No. 34-65431, Rel. No. 34-65432, Rel. No. 34-65434, Rel. No. 34-65435, Rel. No. 34-65436, Rel. No. 34-65437, Rel. No. 34-65438, Rel. No. 34-65439, Rel. No. 34-65440 |
| Release Number:34-66663 | SEC Issue Date:Mar 26, 2012 | File Number:SR-NYSEAmex-2012-19 | SRO Organization:NYSE Amex (NYSEAmex) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Clarifying That Rule Change in Connection With Proposed Combination Between NYSE Euronext and Deutsche Brse AG Will Not Become Effective |
| Release Number:34-66649 | SEC Issue Date:Mar 23, 2012 | File Number:SR-NYSEAMEX-2012-18 | SRO Organization:NYSE Amex (NYSEAmex) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Option Trading Rules To Extend the Operation of Its Pilot Program Regarding Minimum Value Sizes for Flexible Exchange Options Until March 29, 2013 See Also - Exhibit 5 |