National Securities Exchanges
We encourage the public to submit comments on the following filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.
| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-79029 | Oct 3, 2016 | SR-NYSEMKT-2016-83 | NYSE MKT (NYSEMKT) | Notice of Filing of Partial Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment No. 2, To Amend Rule 67-Equities Relating to the Tick Size Pilot Program View Received Comments See Also - Exhibit 5, Rel. No. 34-78803 |
| 34-78992 | Sep 29, 2016 | SR-NYSEMKT-2016-80, SR-NYSEArca-2016-119, SR-NYSE-2016-57 | NYSE MKT (NYSEMKT), NYSE Arca (NYSEARCA), New York Stock Exchange LLC (NYSE) | Order Approving Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Amending and Restating the Second Amended and Restated Certificate of Incorporation of the Exchanges' Ultimate Parent Company, Intercontinental Exchange, Inc. View Received Comments See Also - Rel. No. 34-78661 |
| 34-78959 | Sep 28, 2016 | SR-NYSEMKT-2016-71 | NYSE MKT (NYSEMKT) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 8313 Relating to the Exchange's Ability To Publicly Release Disciplinary Complaints, Decisions and Other Information Modeled on the Text of FINRA Rule 8313; Amending Rules and Adopting a New Rule 9291 Relating to the Imposition of Temporary or Permanent Cease and Desist Orders To Correspond to Recent Amendments by FINRA; and Making Certain Technical and Conforming Changes to Rule 9310 See Also - Exhibit 5 |
| 34-78968 | Sep 28, 2016 | SR-NYSEMKT-2016-63 | NYSE MKT (NYSEMKT) | Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change Amending the Co-Location Services Offered by the Exchange To Add Certain Access and Connectivity Fees View Received Comments See Also - Rel. No. 34-80309, Rel. No. 34-79672, Rel. No. 34-79378, Rel. No. 34-78629, Rel. No. 34-80077 |
| 34-78951 | Sep 27, 2016 | SR-NYSEMKT-2016-15 | NYSE MKT (NYSEMKT) | Notice of Withdrawal of a Proposed Change, as Modified by Amendment Nos. 1 and 2, Establishing Fees Relating to End Users and Amending the Definition of "Affiliate," as Well as Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule To Reflect the Changes View Received Comments See Also - Notice Release No. 34-78389, Rel. No. 34-77978, Rel. No. 34-77640 |
| 34-78917 | Sep 23, 2016 | SR-NYSEMKT-2016-68 | NYSE MKT (NYSEMKT) | Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 and Partial Amendment No. 2, Amending Exchange Rule 49 Regarding the Exchange's: (1) Emergency Powers; (2) Disaster Recovery Plans; and (3) Backup Systems and Mandatory Testing View Received Comments See Also - Rel. No. 34-78297, Rel. No. 34-78917 |
| 34-78914 | Sep 23, 2016 | SR-NYSEMKT-2016-89 | NYSE MKT (NYSEMKT) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add to the Rules of the Exchange the Tenth Amended and Restated Operating Agreement of the New York Stock Exchange LLC See Also - Exhibit 5a, Exhibit 5b |
| 34-78888 | Sep 20, 2016 | SR-NYSEMKT-2016-73, SR-NYSEARCA-2016-109 | NYSE MKT (NYSEMKT), NYSE Arca (NYSEARCA) | Order Approving Proposed Rule Changes To Provide for the Rejection of Certain Electronic Complex Orders See Also - Rel. No. 34-78546, Rel. No. 34-78544 |
| 34-78829 | Sep 13, 2016 | SR-NYSEMKT-2016-86 | NYSE MKT (NYSEMKT) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Deadline for Implementing Rule 967.1NY(a)(2) and (3) Until September 30, 2016 See Also - Exhibit 5 |
| 34-78817 | Sep 12, 2016 | SR-NYSEMKT-2016-84 | NYSE MKT (NYSEMKT) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 67-Equities To Modify Certain Data Collection Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program View Received Comments See Also - Exhibit 5, Exemptive Letter |