National Securities Exchanges
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-64907 | Jul 18, 2011 | SR-NYSEAmex-2011-53 | NYSE Amex (NYSEAmex) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Options Rule 993NY To Make Changes Necessary To Allow Its Routing Broker To Operate Consistent With the Requirements of Rule 15c3-5 Under the Securities Exchange Act of 1934 See Also - Exhibit 5 |
| 34-64887 | Jul 14, 2011 | SR-NYSEAMEX-2011-51 | NYSE Amex (NYSEAmex) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Conforming Certain of Its Financial Responsibility and Related Operational Rules to a Recently-Approved Financial Industry Regulatory Authority Rule Change |
| 34-64859 | Jul 12, 2011 | SR-NYSEAmex-2011-47 | NYSE Amex (NYSEAmex) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operative Date of NYSE Amex Equities Rule 92(c)(3) From August 1, 2011 to September 12, 2011 See Also - Exhibit 5 |
| 34-64844 | Jul 8, 2011 | SR-NYSEAmex-2011-34 | NYSE Amex (NYSEAmex) | Order Approving a Proposed Rule Change Amending NYSE Amex Equities Rule 70.40(3) To Permit Member Organizations To Engage in Proprietary Trading From Their Approved Booth Premises in Certain OTC Bulletin Board and OTC Markets Securities See Also - Rel. No. 34-64521 |
| 34-64797 | Jul 1, 2011 | SR-NYSEAmex-2011-46 | NYSE Amex (NYSEAmex) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 1000(a)(iv) To Provide for a Different Liquidity Replenishment Point Value Range During the First Day of Trading of an Initial Public Offering on the Exchange See Also - Exhibit 5 |
| 34-64783 | Jun 30, 2011 | SR-NYSEAMEX-2011-41 | NYSE Amex (NYSEAmex) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting the Text of Rule 409(f)-NYSE Amex Equities and Adopting the Text of FINRA Rule 2232 |
| 34-64784 | Jun 30, 2011 | SR-NYSEAMEX-2011-42 | NYSE Amex (NYSEAmex) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Amex Equities Rule 351(a)-(d) and Supplementary Material .10 and .13, Adopting the Text of FINRA Rule 4530, and Making Certain Conforming Changes |
| 34-64772 | Jun 29, 2011 | SR-NYSEAmex-2011-44 | NYSE Amex (NYSEAmex) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot Until the Earlier of the Securities and Exchange Commission's Approval To Make Such Pilot Permanent or January 31, 2012 See Also - Exhibit 5 |
| 34-64773 | Jun 29, 2011 | SR-NYSEAmex-2011-43 | NYSE Amex (NYSEAmex) | Notice of Filing and Immediate Effectiveness of 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 January 31, 2012 See Also - Exhibit 5 |
| 34-64746 | Jun 24, 2011 | SR-NYSEAmex-2011-45 | NYSE Amex (NYSEAmex) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change 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 |