National Securities Exchanges
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-79231 | Nov 3, 2016 | SR-NYSEMKT-2016-90 | NYSE MKT (NYSEMKT) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules Concerning Payment of Compensation and Rebates, and Research Analyst Attestation Requirements in Order To Harmonize With Certain FINRA Rules and Make Other Conforming Changes See Also - Exhibit 5 |
| 34-79213 | Nov 1, 2016 | SR-NYSEMKT-2016-98 | NYSE MKT (NYSEMKT) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .05 to Rule 980NY |
| 34-79135 | Oct 21, 2016 | SR-NYSEMKT-2016-45 | NYSE MKT (NYSEMKT) | Order Disapproving a Proposed Rule Change To Modify the NYSE Amex Options Fee Schedule With Respect to Fees, Rebates, and Credits for Transactions in the Customer Best Execution Auction See Also - Rel. No. 34-78029, Rel. No. 34-77658 |
| 34-79132 | Oct 21, 2016 | SR-NYSEMKT-2016-94 | NYSE MKT (NYSEMKT) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 497-Equities See Also - Exhibit 5 |
| 34-79125 | Oct 19, 2016 | SR-NYSEMKT-2016-48 | NYSE MKT (NYSEMKT) | Notice of Filing of Amendment Nos. 2 and 3 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 2 and 3, To Amend Certain Rules Related to Flexible Exchange Options View Received Comments |
| 34-79108 | Oct 18, 2016 | SR-NYSEMKT-2016-92 | NYSE MKT (NYSEMKT) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 6A-Equities and NYSE MKT Rule 6-Equities See Also - Exhibit 5 |
| 34-79114 | Oct 18, 2016 | SR-NYSEMKT-2016-93 | NYSE MKT (NYSEMKT) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Article IV, Section 4.05 of the Ninth Amended and Restated Operating Agreement of the Exchange See Also - Exhibit 5 |
| 34-79089 | Oct 13, 2016 | SR-NYSEMKT-2016-91 | NYSE MKT (NYSEMKT) | Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE Amex Options Fee Schedule See Also - Exhibit 5 |
| 34-79056 | Oct 6, 2016 | SR-NYSEMKT-2016-62 | NYSE MKT (NYSEMKT) | Order Granting Approval of Proposed Rule Change Amending Section 146 of the NYSE MKT Company Guide To Adjust the Entitlement to Services of Special Purpose Acquisition Companies See Also - Rel. No. 34-78586 |
| 34-79055 | Oct 5, 2016 | SR-NYSEMKT-2016-52, SR-NYSEArca-2016-103 | NYSE MKT (NYSEMKT), NYSE Arca (NYSEARCA) | Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Extend the Time Within Which a Member, Member Organization, an ATP Holder, an OTP Holder, or an OTP Firm Must File a Uniform Termination Notice for Securities Industry Registration ("Form U5") View Received Comments See Also - Rel. No. 34-78755, Rel. No. 34-78381, Rel. No. 34-80154, Rel. No. 34-78598, Rel. No. 34-78198 |