Citations for: Self-Regulatory Organizations; NYSE Alternext US LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Relocation of the Trading of Certain Debt Securities Conducted on or Through the Exchange's Legacy Trading Systems and Facilities to an Automated Bond Trading Platform Based on NYSE BondsSM

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Citations

  • 17 CFR 240.19
  • 17 CFR 200.30
  • 73 FR 57707
  • 73 FR 59019
  • 72 FR 14631
  • 71 FR 67657
  • 73 FR 58995 : Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Approval of Proposed Rule Change To Establish New Membership, Member Firm Conduct, and Equity Trading Rules Following the Exchange's Acquisition by NYSE Euronext (10/08/2008)
    Full Title:
    Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Approval of Proposed Rule Change To Establish New Membership, Member Firm Conduct, and Equity Trading Rules Following the Exchange's Acquisition by NYSE Euronext
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, October 08, 2008
    Type:
    Notice
  • 15 U.S.C. 78
  • 5 U.S.C. 552

Entries Referencing This

  • 73 FR 73681: Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC To Establish the Minimum Price Variation of $0.0001 for Orders and Quotations in Equity Securities that are Priced Below $1.00 Per Share (12/03/2008)
    Full Title:
    Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC To Establish the Minimum Price Variation of $0.0001 for Orders and Quotations in Equity Securities that are Priced Below $1.00 Per Share
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, December 03, 2008
    Type:
    Notice
  • 73 FR 73683: Self-Regulatory Organizations; NYSE Alternext U.S. LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Conform Its Rules With Those of the New York Stock Exchange (12/03/2008)
    Full Title:
    Self-Regulatory Organizations; NYSE Alternext U.S. LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Conform Its Rules With Those of the New York Stock Exchange
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, December 03, 2008
    Type:
    Notice
  • 73 FR 79962: Self-Regulatory Organizations; NYSE Alternext US LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish the Minimum Price Variation of $0.01 for Orders and Quotations in Bonds Admitted to Dealings on NYSE Alternext (12/30/2008)
    Full Title:
    Self-Regulatory Organizations; NYSE Alternext US LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish the Minimum Price Variation of $0.01 for Orders and Quotations in Bonds Admitted to Dealings on NYSE Alternext
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Tuesday, December 30, 2008
    Type:
    Notice
  • 74 FR 2146: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a TRACE Pilot Program (01/14/2009)
    Full Title:
    Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a TRACE Pilot Program
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, January 14, 2009
    Type:
    Notice
  • 74 FR 3123: Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC Amending NYSE Alternext Equities Rule 103B To Conform to Amendments Filed by the New York Stock Exchange To: (1) Prohibit DMM Units From Communicating With Issuers After Receipt of Notice From the Exchange of the Issuer's Impending Listing; and (2) Provide DMM Unit Marketing Materials to the Issuer Prior to the Scheduled Interview Rather Than the Day Before (01/16/2009)
    Full Title:
    Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC Amending NYSE Alternext Equities Rule 103B To Conform to Amendments Filed by the New York Stock Exchange To: (1) Prohibit DMM Units From Communicating With Issuers After Receipt of Notice From the Exchange of the Issuer's Impending Listing; and (2) Provide DMM Unit Marketing Materials to the Issuer Prior to the Scheduled Interview Rather Than the Day Before
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Friday, January 16, 2009
    Type:
    Notice
  • 74 FR 6447: Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext U.S. LLC Making Changes to Certain NYSE Alternext Equities Rules to Conform With Amendments to Corresponding Rules Recently Filed for Immediate Effectiveness by the New York Stock Exchange LLC and To Make Other Technical Changes (02/09/2009)
    Full Title:
    Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext U.S. LLC Making Changes to Certain NYSE Alternext Equities Rules to Conform With Amendments to Corresponding Rules Recently Filed for Immediate Effectiveness by the New York Stock Exchange LLC and To Make Other Technical Changes
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Monday, February 09, 2009
    Type:
    Notice
  • 74 FR 8603: Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC Amending Certain NYSE Alternext Equities Rules To Reflect That Designated Market Makers (“DMMs”) on the Exchange No Longer Act as Agents for Orders Entered on the Exchange (02/25/2009)
    Full Title:
    Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC Amending Certain NYSE Alternext Equities Rules To Reflect That Designated Market Makers (“DMMs”) on the Exchange No Longer Act as Agents for Orders Entered on the Exchange
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, February 25, 2009
    Type:
    Notice
  • 74 FR 9450: Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by NYSE Alternext US LLC Amending Rule 472-NYSE Alternext Equities (Communications With the Public) (03/04/2009)
    Full Title:
    Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by NYSE Alternext US LLC Amending Rule 472-NYSE Alternext Equities (Communications With the Public)
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, March 04, 2009
    Type:
    Notice
  • 74 FR 9648: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 300.10T To Provide a Grace Period Under That Rule for NYSE Alternext U.S. LLC Member Organizations That Have Applied for a Trading License to Comply With Certain Exchange Rules (03/05/2009)
    Full Title:
    Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 300.10T To Provide a Grace Period Under That Rule for NYSE Alternext U.S. LLC Member Organizations That Have Applied for a Trading License to Comply With Certain Exchange Rules
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Thursday, March 05, 2009
    Type:
    Notice
  • 74 FR 9651: Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC Amending Rule 300.10T-NYSE Alternext Equities To Provide a Grace Period Under That Rule for Member Organizations That Have Applied for a Trading License To Comply With Certain Exchange Rules (03/05/2009)
    Full Title:
    Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC Amending Rule 300.10T-NYSE Alternext Equities To Provide a Grace Period Under That Rule for Member Organizations That Have Applied for a Trading License To Comply With Certain Exchange Rules
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Thursday, March 05, 2009
    Type:
    Notice
  • 74 FR 10114: Self-Regulatory Organizations; NYSE Alternext U.S. LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending NYSE Alternext Equities Rule 17 To Address Issues Related to Vendor Liability and To Make Amendments and Conforming Changes to NYSE Alternext Equities Rule 18 (03/09/2009)
    Full Title:
    Self-Regulatory Organizations; NYSE Alternext U.S. LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending NYSE Alternext Equities Rule 17 To Address Issues Related to Vendor Liability and To Make Amendments and Conforming Changes to NYSE Alternext Equities Rule 18
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Monday, March 09, 2009
    Type:
    Notice
  • 74 FR 10334: Self-Regulatory Organizations; NYSE Alternext US LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Amending Rule 123C To Provide the Exchange With the Ability To Temporarily Suspend Certain Exchange Requirements Relating to the Closing of Securities at the Exchange (03/10/2009)
    Full Title:
    Self-Regulatory Organizations; NYSE Alternext US LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Amending Rule 123C To Provide the Exchange With the Ability To Temporarily Suspend Certain Exchange Requirements Relating to the Closing of Securities at the Exchange
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Tuesday, March 10, 2009
    Type:
    Notice
  • 74 FR 11393: Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC Eliminating the Ability To Enter Orders on the Exchange With the Settlement Instructions of “Cash”, “Next Day” and “Seller's Option” To Conform to Amendments Filed by the New York Stock Exchange (03/17/2009)
    Full Title:
    Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC Eliminating the Ability To Enter Orders on the Exchange With the Settlement Instructions of “Cash”, “Next Day” and “Seller's Option” To Conform to Amendments Filed by the New York Stock Exchange
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Tuesday, March 17, 2009
    Type:
    Notice
  • 74 FR 12420: Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext U.S. LLC Amending NYSE Alternext Rules To Delete References to Specific Exchange Systems and To Remove the Requirement that Opening Transactions Receive Specific Designations Pursuant to NYSE Alternext Rules 79A and 115A. These Amendments are Proposed To Conform to Amendments Filed by the New York Stock Exchange LLC 1 (03/24/2009)
    Full Title:
    Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext U.S. LLC Amending NYSE Alternext Rules To Delete References to Specific Exchange Systems and To Remove the Requirement that Opening Transactions Receive Specific Designations Pursuant to NYSE Alternext Rules 79A and 115A. These Amendments are Proposed To Conform to Amendments Filed by the New York Stock Exchange LLC 1
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Tuesday, March 24, 2009
    Type:
    Notice
  • 74 FR 14176: Self-Regulatory Organizations; NYSE Alternext US LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operative Date of Rule 92(c)(3) From March 31, 2009 to July 31, 2009 (03/30/2009)
    Full Title:
    Self-Regulatory Organizations; NYSE Alternext US LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operative Date of Rule 92(c)(3) From March 31, 2009 to July 31, 2009
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Monday, March 30, 2009
    Type:
    Notice
  • 74 FR 14834: Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Formally Adopting and Codifying Its Wireless Data Communications Initiatives (04/01/2009)
    Full Title:
    Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Formally Adopting and Codifying Its Wireless Data Communications Initiatives
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, April 01, 2009
    Type:
    Notice
  • 74 FR 15540: Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Alternext US LLC, as Modified by Amendment No. 1, Changing Certain NYSE Amex Equities Rules To Conform Them With Changes to Corresponding Rules Submitted in a Companion Filing by the New York Stock Exchange LLC (04/06/2009)
    Full Title:
    Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Alternext US LLC, as Modified by Amendment No. 1, Changing Certain NYSE Amex Equities Rules To Conform Them With Changes to Corresponding Rules Submitted in a Companion Filing by the New York Stock Exchange LLC
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Monday, April 06, 2009
    Type:
    Notice
  • 74 FR 19257: Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rules 13, 902, 903, 904, 905 and 906 To Eliminate Certain Order Types From the Off-Hours Trading Facility (04/28/2009)
    Full Title:
    Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rules 13, 902, 903, 904, 905 and 906 To Eliminate Certain Order Types From the Off-Hours Trading Facility
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Tuesday, April 28, 2009
    Type:
    Notice
  • 74 FR 20764: Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rules 1000, 60 and 123C To Be More Consistent With the Trading Characteristics of Securities Traded on NYSE Amex (05/05/2009)
    Full Title:
    Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rules 1000, 60 and 123C To Be More Consistent With the Trading Characteristics of Securities Traded on NYSE Amex
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Tuesday, May 05, 2009
    Type:
    Notice
  • 74 FR 26449: Self-Regulatory Organizations; NYSE Alternext US LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Changing Certain NYSE Amex Equities Rules To Conform Them With Changes to Corresponding Rules Filed by the New York Stock Exchange LLC (06/02/2009)
    Full Title:
    Self-Regulatory Organizations; NYSE Alternext US LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Changing Certain NYSE Amex Equities Rules To Conform Them With Changes to Corresponding Rules Filed by the New York Stock Exchange LLC
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Tuesday, June 02, 2009
    Type:
    Notice
  • 74 FR 26907: Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 123E To Be More Consistent With the Exchange's Current Designated Market Maker System (06/04/2009)
    Full Title:
    Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 123E To Be More Consistent With the Exchange's Current Designated Market Maker System
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Thursday, June 04, 2009
    Type:
    Notice
  • 74 FR 28299: Self-Regulatory Organizations; NYSE Amex LLC, Notice of Filing of a Proposed Rule Change Amending Rule 70.25 To Permit All Available Contra-side Liquidity To Trigger the Execution of a d-Quote (06/15/2009)
    Full Title:
    Self-Regulatory Organizations; NYSE Amex LLC, Notice of Filing of a Proposed Rule Change Amending Rule 70.25 To Permit All Available Contra-side Liquidity To Trigger the Execution of a d-Quote
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Monday, June 15, 2009
    Type:
    Notice
  • 74 FR 30342: Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 124 To Clarify the Pricing Methodology for the Odd-Lot Portion of a Part of a Round-Lot Order; Clarify the Systems Capable of Accepting PRL Orders; and Clarify the Systems Capable of Accepting a Good ‘Til Cancelled Order During the Implementation of Exchange System Enhancements (06/25/2009)
    Full Title:
    Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 124 To Clarify the Pricing Methodology for the Odd-Lot Portion of a Part of a Round-Lot Order; Clarify the Systems Capable of Accepting PRL Orders; and Clarify the Systems Capable of Accepting a Good ‘Til Cancelled Order During the Implementation of Exchange System Enhancements
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Thursday, June 25, 2009
    Type:
    Notice
  • 74 FR 33286: Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rules To Allow Customers To Transmit Orders on the Exchange With Settlement Instructions of “Cash,” “Next Day” and “Seller's Option” Directly to a Floor Broker for Manual Execution (07/10/2009)
    Full Title:
    Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rules To Allow Customers To Transmit Orders on the Exchange With Settlement Instructions of “Cash,” “Next Day” and “Seller's Option” Directly to a Floor Broker for Manual Execution
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Friday, July 10, 2009
    Type:
    Notice
  • 74 FR 36799: Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 2 To Redefine the Term “Member Organization” (07/24/2009)
    Full Title:
    Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 2 To Redefine the Term “Member Organization”
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Friday, July 24, 2009
    Type:
    Notice
  • 74 FR 39128: Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Extending the Operative Date of NYSE Amex Equities Rule 92(c)(3) from July 31, 2009 to December 31, 2009 (08/05/2009)
    Full Title:
    Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Extending the Operative Date of NYSE Amex Equities Rule 92(c)(3) from July 31, 2009 to December 31, 2009
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, August 05, 2009
    Type:
    Notice
  • 74 FR 39130: Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Disciplinary Rule 476A To Add Rule 104(a)(1)(A)-NYSE Amex Equities To Its “List of Exchange Rule Violations and Fines Applicable Thereto” (08/05/2009)
    Full Title:
    Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Disciplinary Rule 476A To Add Rule 104(a)(1)(A)-NYSE Amex Equities To Its “List of Exchange Rule Violations and Fines Applicable Thereto”
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, August 05, 2009
    Type:
    Notice
  • 74 FR 40271: Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 103B to Modify the Composition of the Exchange Selection Panel; and Prohibit any Ex Parte Communications During and Regarding the Selection Process between the DMM Units and the Individuals Serving on the Exchange Selection Panel (08/11/2009)
    Full Title:
    Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 103B to Modify the Composition of the Exchange Selection Panel; and Prohibit any Ex Parte Communications During and Regarding the Selection Process between the DMM Units and the Individuals Serving on the Exchange Selection Panel
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Tuesday, August 11, 2009
    Type:
    Notice
  • 75 FR 477: Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Extending the Operative Date of Rule 92(c)(3) From December 31, 2009 to July 31, 2010 (01/05/2010)
    Full Title:
    Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Extending the Operative Date of Rule 92(c)(3) From December 31, 2009 to July 31, 2010
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Tuesday, January 05, 2010
    Type:
    Notice
  • 75 FR 34513: Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Rescind Rule 60A-NYSE Amex Equities (06/17/2010)
    Full Title:
    Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Rescind Rule 60A-NYSE Amex Equities
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Thursday, June 17, 2010
    Type:
    Notice
  • 75 FR 35865: Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Amex LLC Amending Its Rules To Incorporate the Receipt and Execution of Odd-Lot Interest Into the Round Lot Market and Decommission the Use of the “Odd-Lot System” (06/23/2010)
    Full Title:
    Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Amex LLC Amending Its Rules To Incorporate the Receipt and Execution of Odd-Lot Interest Into the Round Lot Market and Decommission the Use of the “Odd-Lot System”
    Date Entered:
    Wednesday, June 23, 2010
    Type:
    Notice
  • 75 FR 36736: Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 1000 Regarding Order Size Eligible for Automatic Execution (06/28/2010)
    Full Title:
    Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 1000 Regarding Order Size Eligible for Automatic Execution
    Date Entered:
    Monday, June 28, 2010
    Type:
    Notice
  • 75 FR 44040: Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Extending the Operative Date of NYSE Amex Equities Rule 92(c)(3) From July 31, 2010 to December 31, 2010 (07/27/2010)
    Full Title:
    Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Extending the Operative Date of NYSE Amex Equities Rule 92(c)(3) From July 31, 2010 to December 31, 2010
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Tuesday, July 27, 2010
    Type:
    Notice
  • 75 FR 77685: Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Extending the Operative Date of NYSE Amex Equities Rule 92(c)(3) From December 31, 2010 to August 1, 2011 (12/13/2010)
    Full Title:
    Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Extending the Operative Date of NYSE Amex Equities Rule 92(c)(3) From December 31, 2010 to August 1, 2011
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Monday, December 13, 2010
    Type:
    Notice
  • 76 FR 42147: Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operative Date of NYSE Amex Equities Rule 92(c)(3) From August 1, 2011 to September 12, 2011 (07/18/2011)
    Full Title:
    Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operative Date of NYSE Amex Equities Rule 92(c)(3) From August 1, 2011 to September 12, 2011
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Monday, July 18, 2011
    Type:
    Notice

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