National Securities Exchanges
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-64521 | May 19, 2011 | SR-NYSEAmex-2011-34 | NYSE Amex (NYSEAmex) | Notice of Filing of 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 - Exhibit 5, Rel. No. 34-64844 |
| 34-64524 | May 19, 2011 | SR-NYSEAmex-2011-30 | NYSE Amex (NYSEAmex) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fee Schedule With Respect to Electronic Complex Order Executions See Also - Exhibit 5 |
| 34-64511 | May 18, 2011 | SR-NYSEAmex-2011-18 | NYSE Amex (NYSEAmex) | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to the Formation of a Joint Venture Between the Exchange, Its Ultimate Parent NYSE Euronext, and Seven Other Entities To Operate an Electronic Trading Facility for Options Contracts View Received Comments See Also - Rel. No. 34-64742, Rel. No. 34-64144 |
| 34-64421 | May 6, 2011 | SR-NYSEAmex-2011-32 | NYSE Amex (NYSEAmex) | Notice of Filing of Proposed Rule Change Amending Rule 80C-NYSE Amex Equities To Include Additional Securities in the Pilot by Which Such Rule Operates and Amending Rule 104-NYSE Amex Equities To Simplify Certain Aspects of the Text While Also Conforming Certain of the Percentages Thereunder to the Proposed Changes to Rule 80C See Also - Exhibit 5 |
| 34-64400 | May 4, 2011 | SR-NYSEAmex-2011-27 | NYSE Amex (NYSEAmex) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Fee Schedule To Eliminate Registered Representative Fees for Amex Trading Permit ("ATP") Holders and To Institute a New Transaction-Based "Options Regulatory Fee" View Received Comments See Also - Exhibit 5 |
| 34-64404 | May 4, 2011 | SR-NYSEAmex-2011-31 | NYSE Amex (NYSEAmex) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing To Extend Its Program That Allows Transactions To Take Place at a Price That Is Below $1 per Option Contract Until June 1, 2012 See Also - Exhibit 5 |
| 34-64350 | Apr 27, 2011 | SR-NYSEAmex-2011-29 | NYSE Amex (NYSEAmex) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 440B (Short Sales) To Modify the Exchange's Procedures for Early Termination of the Short Sale Price Test Restrictions of Rule 201 of Regulation SHO Based on a Triggering Transaction That Another Exchange or a Self-Regulatory Organization Has Determined Was a Clearly Erroneous Execution |
| 34-64335 | Apr 25, 2011 | SR-NYSEAmex-2011-25 | NYSE Amex (NYSEAmex) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 72(d) Regarding Agency Cross Transactions See Also - Exhibit 5 |
| 34-64325 | Apr 22, 2011 | SR-NYSEAmex-2011-26 | NYSE Amex (NYSEAmex) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit the Listing of Series with $0.50 and $1 Strike Price Increments on Certain Options Used To Calculate Volatility Indexes See Also - Exhibit 5 |
| 34-64321 | Apr 21, 2011 | SR-NYSEAmex-2011-11 | NYSE Amex (NYSEAmex) | Order Approving a Proposed Rule Change Amending Rule 103B-NYSE Amex Equities To Modify the Application of the Exchange's Designated Market Maker Allocation Policy in the Event of a Merger Involving One or More Listed Companies See Also - Rel. No. 34-64040, Rel. No. 34-64274 |