National Securities Exchanges
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-69033 | Mar 4, 2013 | SR-NYSEMKT-2013-10 | NYSE MKT (NYSEMKT) | Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Adopting Exchange Rule 953.1NY To Provide for How the Exchange Proposes To Treat Orders, Market-Making Quoting Obligations, and Errors in Response to the Regulation NMS Plan To Address Extraordinary Market Volatility; and Amending Exchange Rule 953NY To Codify That the Exchange Shall Halt Trading in All Options Overlying NMS Stocks When the Equities Markets Initiate a Market-Wide Trading Halt Due to Extraordinary Market Volatility See Also - Exhibit 5, Rel. No. 34-69339 |
| 34-68997 | Feb 27, 2013 | SR-NYSEMKT-2013-13 | NYSE MKT (NYSEMKT) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relocating Certain Futures and Options Trading Conducted on ICE Futures U.S. From Rented Space at the New York Mercantile Exchange to the Exchange's Facilities at 20 Broad Street and Amending Rule 6A-Equities, Which Defines the Terms "Trading Floor" and "NYSE Amex Options Trading Floor" View Received Comments See Also - Exhibit 5 |
| 34-68957 | Feb 20, 2013 | SR-NYSEMKT-2013-14 | NYSE MKT (NYSEMKT) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Temporary Suspension of Those Aspects of Rules 36.20-Equities and 36.21-Equities That Would Not Permit Floor Brokers To Use Personal Portable Phone Devices on the Trading Floor Following the Aftermath of Hurricane Sandy Until the Earlier of When Phone Service Is Fully Restored or Friday, March 29, 2013 |
| 34-68926 | Feb 14, 2013 | SR-NYSEMKT-2013-12 | NYSE MKT (NYSEMKT) | Notice of Filing of Proposed Rule Change Amending Rule 975NY in Part and Adding a New Section To Address Errors That Involve Complex Orders See Also - Exhibit 5, Rel. No. 34-69608 |
| 34-68923 | Feb 13, 2013 | SR-NYSEMKT-2012-58, SR-NYSE-2012-57 | NYSE MKT (NYSEMKT), New York Stock Exchange LLC (NYSE) | Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes Deleting NYSE Rules 95(c) and (d) and NYSE MKT Rules 95(c) and (d)-Equities and Related Supplementary Material See Also - Rel. No. 34-69983, Rel. No. 34-69575, Rel. No. 34-68522, Rel. No. 34-68185, Rel. No. 34-68521, Rel. No. 34-68186 |
| 34-68875 | Feb 8, 2013 | SR-NYSEMKT-2013-05 | NYSE MKT (NYSEMKT) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 80C-Equities To Establish Rules To Comply With the Requirements of the Plan To Address Extraordinary Market Volatility Submitted to the Commission Pursuant to Rule 608 of Regulation NMS See Also - Exhibit 5 |
| 34-68801 | Feb 1, 2013 | SR-NYSEMKT-2013-11 | NYSE MKT (NYSEMKT) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 128-Equities, Which Governs Clearly Erroneous Executions, Extending the Effective Date of the Pilot Until September 30, 2013 and Adopting New Paragraph (i) to Rule 128-Equities in Connection With the Upcoming Operation of the Plan To Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS Under the Act See Also - Exhibit 5 |
| 34-68787 | Jan 31, 2013 | SR-NYSEMKT-2013-08 | NYSE MKT (NYSEMKT) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Delaying the Operative Date of A Rule Change to Exchange Rule 80B-Equities, Which Provides for Methodology for Determining When To Halt Trading in All Stocks Due to Extraordinary Market Volatility, From the Date of February 4, 2013, Until April 8, 2013 |
| 34-68744 | Jan 28, 2013 | SR-NYSEMKT-2013-04 | NYSE MKT (NYSEMKT) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 80C-Equities, Which Provides for Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, Extending the Effective Date of the Pilot Until the Earlier of the Initial Date of Operations of the Regulation NMS Plan To Address Extraordinary Market Volatility or February 4, 2014 See Also - Exhibit 5 |
| 34-68746 | Jan 28, 2013 | SR-NYSEMKT-2013-07 | NYSE MKT (NYSEMKT) | Notice of Filing of Proposed Rule Change Amending the Attestation Requirement of Rule 107C-Equities To Allow a Retail Member Organization To Attest That "Substantially All" Orders Submitted to the Retail Liquidity Program Will Qualify as "Retail Orders" View Received Comments See Also - Exhibit 5, Rel. No. 34-69513, Rel. No. 34-69187 |