National Securities Exchanges
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-97688 | Jun 9, 2023 | SR-NYSE-2023-12 | New York Stock Exchange LLC (NYSE) | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt New Section 303A.14 of the NYSE Listed Company Manual to Establish Listing Standards Related to Recovery of Er Comments Due: July 5, 2023 See Also - Exhibit 5 Submit a Comment on SR-NYSE-2023-12
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| 34-97354 | Apr 24, 2023 | SR-NYSE-2023-12 | New York Stock Exchange LLC (NYSE) | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Adopt New Section 303A.14 of the NYSE Listed Company Manual to Establish Listing Standards Related to Recovery of Erroneously Awarded Incentive-Based Executive Compensation |
| 34-97251 | Apr 4, 2023 | SR-NYSE-2023-17 | New York Stock Exchange LLC (NYSE) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 902.02 of the NYSE Listed Company Manual With Respect to the Qualification Comments Due: May 1, 2023 See Also - Exhibit 5 |
| 34-97206 | Mar 27, 2023 | SR-NYSE-2023-19 | New York Stock Exchange LLC (NYSE) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 308 as Defined in Rule 9232(b) and Delete and Replace Certain Obsolete References Comments Due: 21 days after publication in the Federal Register See Also - Exhibit 5 |
| 34-97170 | Mar 20, 2023 | SR-NYSE-2023-18 | New York Stock Exchange LLC (NYSE) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List Comments Due: 21 days after publication in the Federal Register See Also - Exhibit 5 |
| 34-97055 | Mar 7, 2023 | SR-NYSE-2023-12 | New York Stock Exchange LLC (NYSE) | Notice of Filing of Proposed Rule Change To Adopt New Section 303A.14 of the NYSE Listed Company Manual To Establish Listing Standards Related to Recovery of Erroneously Awarded Incentive-Based Executive Compensation Comments Due: 21 days after publication in the Federal Register View Received Comments See Also - Exhibit 5 |
| 34-97058 | Mar 7, 2023 | SR-NYSE-2023-13 | New York Stock Exchange LLC (NYSE) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Article II, Section 2.03(b) of Its Operating Agreement Comments Due: 21 days after publication in the Federal Register View Received Comments See Also - Exhibit 5 |
| 34-97048 | Mar 6, 2023 | SR-NYSE-2023-15 | New York Stock Exchange LLC (NYSE) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 313 Comments Due: 21 days after publication in the Federal Register See Also - Exhibit 5 |
| 34-97010 | Mar 1, 2023 | SR-NYSE-2023-14 | New York Stock Exchange LLC (NYSE) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.19 Related to Pre-Trade Risk Controls Comments Due: 21 days after publication in the Federal Register See Also - Exhibit 5 |
| 34-96944 | Feb 16, 2023 | SR-NYSE-2023-11 | New York Stock Exchange LLC (NYSE) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 7.44 Relating to the Retail Liquidity Program Comments Due: March 16, 2023 See Also - Exhibit 5 |