National Securities Exchanges
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-68710 | Jan 23, 2013 | SR-NYSEMKT-2013-02 | NYSE MKT (NYSEMKT) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 107C-Equities To Allow Retail Liquidity Providers To Enter Retail Price Improvement Orders in a Non-RLP Capacity for Securities to Which the RLP Is Not Assigned See Also - Exhibit 5 |
| 34-68705 | Jan 22, 2013 | SR-NYSEMKT-2013-06 | NYSE MKT (NYSEMKT) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend 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, February 15, 2013 |
| 34-68630 | Jan 11, 2013 | SR-NYSEMKT-2013-01 | NYSE MKT (NYSEMKT) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List With Respect to Regulatory Fees Related to the Central Registration Depository, Which Are Collected by the Financial Industry Regulatory Authority, Inc. See Also - Exhibit 5 |
| 34-68637 | Jan 11, 2013 | SR-NYSEMKT-2012-48 | NYSE MKT (NYSEMKT) | Notice of Filing of Amendment No. 3, and Order Granting Accelerated Approval for Proposed Rule Change, as Modified by Amendment Nos. 1 and 3, To Amend the Listing Rules for Compensation Committees To Comply With Securities Exchange Act Rule 10C-1 and Make Other Related Changes View Received Comments See Also - Exhibit 5, Rel. No. 34-68313, Rel. No. 34-68007 |
| 34-68589 | Jan 4, 2013 | SR-NYSEMKT-2012-89 | NYSE MKT (NYSEMKT) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule With Respect to Regulatory Fees Related to the Central Registration Depository, Which Are Collected by the Financial Industry Regulatory Authority, Inc. See Also - Exhibit 5 |
| 34-68557 | Jan 2, 2013 | SR-NYSEMKT-2012-85 | NYSE MKT (NYSEMKT) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot (Rule 107B-Equities) Until the Earlier of the Securities and Exchange Commission's Approval To Make Such Pilot Permanent or July 31, 2013 See Also - Exhibit 5 |
| 34-68561 | Jan 2, 2013 | SR-NYSEMKT-2012-86 | NYSE MKT (NYSEMKT) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 500-Equities To Extend the Operation of the Pilot Program That Allows Nasdaq Stock Market ("Nasdaq") Securities To Be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges See Also - Exhibit 5 |
| 34-68559 | Jan 2, 2013 | SR-NYSEMKT-2012-84 | NYSE MKT (NYSEMKT) | 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 July 31, 2013 See Also - Exhibit 5 |
| 34-68520 | Dec 21, 2012 | SR-NYSEMKT-2012-80 | NYSE MKT (NYSEMKT) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 953NY-Trading Halts and Suspensions See Also - Exhibit 5 |
| 34-68527 | Dec 21, 2012 | SR-NYSEMKT-2012-83 | NYSE MKT (NYSEMKT) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE MKT LLC Price List To Specify Pricing that is Currently Applicable to Certain Executions on the Exchange But That Is Not Currently Included in the Price List See Also - Exhibit 5 |