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:34-66065 | SEC Issue Date:Dec 28, 2011 | 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: Order Instituting 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 34-66680, Rel. No. 34-65770, Rel. No. 34-65433, Rel. No. 34-65438, 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. 34-65439, Rel. No. 34-65440 |
| Release Number:34-66044 | SEC Issue Date:Dec 23, 2011 | File Number:SR-NYSEAmex-2011-100 | SRO Organization:NYSE Amex (NYSEAmex) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending NYSE Amex Equities Rule 103B, Which Governs the Allocation of Securities to DMMs |
| Release Number:34-66043 | SEC Issue Date:Dec 23, 2011 | File Number:SR-NYSEAmex-2011-101 | SRO Organization:NYSE Amex (NYSEAmex) |
Details: Notice of Filing of Proposed Rule Change Amending NYSE Amex Equities Rules 504 and 509 To Modify the Quoting Requirements Applicable to Designated Market Maker Units Registered in Nasdaq Stock Market Securities Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges |
| Release Number:34-66042 | SEC Issue Date:Dec 23, 2011 | File Number:SR-NYSEAmex-2011-102 | SRO Organization:NYSE Amex (NYSEAmex) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Extending the Operation of Its New Market Model Pilot Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or July 31, 2012 |
| Release Number:34-66041 | SEC Issue Date:Dec 23, 2011 | File Number:SR-NYSEAmex-2011-103 | SRO Organization:NYSE Amex (NYSEAmex) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot Under Rule 107B Until the Earlier of the Securities and Exchange Commission's Approval To Make Such Pilot Permanent or July 31, 2012 |
| Release Number:34-66040 | SEC Issue Date:Dec 23, 2011 | File Number:SR-NYSEAmex-2011-104 | SRO Organization:NYSE Amex (NYSEAmex) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending NYSE Amex Equities Rule 500 To Extend the Operation of the Pilot Program That Allows Nasdaq Stock Market Securities To Be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or July 31, 2012 |
| Release Number:34-66032 | SEC Issue Date:Dec 22, 2011 | File Number:SR-NYSEAmex-2011-99 | SRO Organization:NYSE Amex (NYSEAmex) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Supplementary Material .26 (Pegging for d-Quotes and e-Quotes) to NYSE Amex Equities Rule 70 See Also - Exhibit 5 |
| Release Number:34-66036 | SEC Issue Date:Dec 22, 2011 | File Number:SR-NYSEAmex-2011-86, SR-NYSE-2011-56 | SRO Organization:NYSE Amex (NYSEAmex), New York Stock Exchange LLC (NYSE) |
Details: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes To Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers See Also - Rel. No. 34-67437, Rel. No. 34-66981, Rel. No. 34-66397, Rel. No. 34-65736, Rel. No. 34-65735 |
| Release Number:34-66006 | SEC Issue Date:Dec 20, 2011 | File Number:SR-NYSEAmex-2011-97 | SRO Organization:NYSE Amex (NYSEAmex) |
Details: Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Amendment to NYSE Amex Rule 452 and Corresponding Section 723 of the Company Guide and Amex Rule 577 Relating to Discretionary Proxy Voting on Executive Compensation Matters See Also - Exhibit 5 |
| Release Number:34-66003 | SEC Issue Date:Dec 19, 2011 | File Number:SR-NYSEAmex-2011-84, SR-NYSE-2011-55 | SRO Organization:NYSE Amex (NYSEAmex), New York Stock Exchange LLC (NYSE) |
Details: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes Adopting New NYSE Rule 107C To Establish a Retail Liquidity Program on a Pilot Basis To Attract Additional Retail Order Flow to the Exchange for NYSE-listed Securities and New NYSE Amex Equities Rule 107C To Establish a Retail Liquidity Program on a Pilot Basis To Attract Additional Retail Order Flow to the Exchange for NYSE Amex Equities Traded Securities View Received Comments See Also - Rel. No. 34-82228, Rel. No. 34-79587, Rel. No. 34-70085, Rel. No. 34-67347, Rel. No. 34-66928, Rel. No. 34-66464, Rel. No. 34-66346, Rel. No. 34-65672, Rel. No. 34-65671 |