National Securities Exchanges
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-66599 | Mar 14, 2012 | SR-NYSEAmex-2012-17 | NYSE Amex (NYSEAmex) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Fee Changes Relating to Trading Nasdaq Securities Pursuant to Unlisted Trading Privileges See Also - Exhibit 5 |
| 34-66561 | Mar 9, 2012 | SR-NYSEAmex-2012-16 | NYSE Amex (NYSEAmex) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Changes to the Per Contract Execution Costs for Certain Participants See Also - Exhibit 5 |
| 34-66518 | Mar 6, 2012 | SR-NYSEAmex-2012-15 | NYSE Amex (NYSEAmex) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Changes to the NYSE Amex Options Fee Schedule To Add Fees for Reserve Floor Market Maker Amex Trading Permits See Also - Exhibit 5 |
| 34-66482 | Feb 28, 2012 | SR-NYSEAMEX-2012-013 | NYSE Amex (NYSEAmex) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Filing the Content Outline and Selection Specifications for the Proprietary Traders Qualification Examination ("Series 56") Program |
| 34-66481 | Feb 28, 2012 | SR-NYSEAmex-2012-10 | NYSE Amex (NYSEAmex) | Notice of Filing of Proposed Rule Change Amending NYSE Amex Rule 476A To Update Its "List of Equities Rule Violations and Fines Applicable Thereto" See Also - Exhibit 5, Rel. No. 34-66809 |
| 34-66463 | Feb 24, 2012 | SR-NYSEAMEX-2012-12 | NYSE Amex (NYSEAmex) | Notice of Filing of Proposed Rule Change Amending the NYSE Amex Equities Definition of Approved Person To Exclude Foreign Affiliates, Eliminating the Application Process for Approved Persons, and Making Related Technical and Conforming Changes See Also - Exhibit 5, Rel. No. 34-66710 |
| 34-66464 | Feb 24, 2012 | SR-NYSE-2011-55, SR-NYSEAmex-2011-84 | NYSE Amex (NYSEAmex), New York Stock Exchange LLC (NYSE) | Notice of Filing of Partial Amendment No. 2 to Proposed Rule Changes, as Modified by Amendment No. 1, Adopting New Rule 107C To Establish a Retail Liquidity Program on a Pilot Basis To Attract Additional Retail Order Flow to the Exchanges View Received Comments See Also - Rel. No. 34-79587, Rel. No. 34-70085, Rel. No. 34-67347, Rel. No. 34-66928, Rel. No. 34-66346, Rel. No. 34-66003, Rel. No. 34-65672, Rel. No. 34-65671 |
| 34-66453 | Feb 23, 2012 | SR-NYSEAMEX-2012-11 | NYSE Amex (NYSEAmex) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Registration Requirements for Traders See Also - Exhibit 5 |
| 34-66450 | Feb 23, 2012 | SR-NYSEAmex-2012-14 | NYSE Amex (NYSEAmex) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Correcting the Formatting of a Recently Adopted NYSE Amex Rule See Also - Exhibit 5 |
| 34-66412 | Feb 16, 2012 | SR-NYSEAMEX-2012-08 | NYSE Amex (NYSEAmex) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Amex Equities Rule 319, Which Addresses Fidelity Bond Requirements, and Adopt New Rule Text That Is Substantially Similar to FINRA Rule 4360 |