NYSE Rulemaking

We invite comments on the following New York Stock Exchange LLC (NYSE; formerly New York Stock Exchange, Inc.) 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.

Chronological List
Second Quarter |  First Quarter

NYSE File Number List for 2018

Additional Archives

Chronological List for 2018

Release No. Date Details
Second Quarter
SR-NYSE-2018-28
34-83454 Jun. 15, 2018 Notice of Filing of Proposed Rule Change to Make Permanent the Retail Liquidity Program Pilot, Rule 107C, Which is Currently Set to Expire on June 30, 2018
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSE-2018-26
34-83432 Jun. 14, 2018 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Amend Pillar trading Platform Rule 7.31 Relating to Reserve Orders and Rule 7.36 relating to Setter Priority
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2018-27
34-83424 Jun. 13, 2018 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
Additional Materials: Exhibit 5
SR-NYSE-2018-23
34-83404 Jun. 11, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List Related to Co-location Services in Connection with the Re-launch of Trading on NYSE National, Inc. and Proposed NYSE National Co-location Services
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSE-2018-24
34-83360 Jun. 1, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Proprietary Market Data Fee Schedule Regarding the NYSE Best Quote and Trades Market Data Feed
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSE-2018-22
34-83359 Jun. 1, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Content of the NYSE Best Quote & Trades Data Feed
Comments due: 21 days after publication in the Federal Register
SR-NYSE-2018-25
34-83356 May 31, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.37 and Rule 17 with Respect to NYSE National's Reopening of Trading and Reactivating Connection to the Securities Information Processors
Comments due: June 27, 2018
Additional Materials: Exhibit 5
SR-NYSE-2017-53
34-83355 May 31, 2018 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend the Listed Company Manual for Special Purpose Acquisition Companies To Lower the Initial Holders Requirement From 300 to 150 Round Lot Holders and To Eliminate Completely the 300 Public Stockholders Continued Listing Requirement, To Require at Least $5 Million in Net Tangible Assets for Initial and Continued Listing, and To Impose a 30-Day Deadline to Demonstrate Compliance with Certain Initial Listing Requirements Following a Business Combination
SR-NYSE-2018-19
34-83342 May 30, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Intercontinental Exchange, Inc. Director Independence Policy
Comments due: June 26, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-21
34-83230 May 14, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List
Comments due: June 8, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-20
34-83221 May 11, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide Users with Connectivity to Three Additional Third Party Data Feeds and Change its Price List Related to these Co-location Services
Comments due: June 7, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-18
34-83158 May 3, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Certificate of Incorporation of Its Parent Company NYSE Group, Inc.
Comments due: May 29, 2018
Additional Materials: Exhibit 5a
SR-NYSE-2018-16
34-83145 May 1, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make a Non-Substantive, Clarifying Change to Footnote 10 of Its Price List
Comments due: May 29, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-17
34-83134 Apr. 30, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13
Comments due: May 25, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-14
34-83117 Apr. 26, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 902.11 of the Exchange's Listed Company Manual Concerning Fees Applicable to Acquisition Companies for Shares Issued Contingent on the Consummation of a Business Combination
Comments due: May 23, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-15
34-83113 Apr. 26, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Transaction Fees In Connection with the Exchange's Trading of UTP Securities on Pillar
Comments due: May 23, 2018
Additional Materials: Exhibit 5
First Quarter
SR-NYSE-2018-11
34-82985 Apr. 3, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees Charged in Connection with the Filing of Supplemental Listing Applications in Connection with the Issuance of Convertible Securities
Comments due: April 30, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-10
34-82965 Mar. 29, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List
Comments due: April 25, 2018
Additional Materials: Exhibit 5
SR-NYSE-2017-36
34-82945 Mar. 26, 2018 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 Equity Trading Rules to Trade Securities Pursuant to Unlisted Trading Privileges, Including Orders and Modifiers, Order Ranking and Display, and Order Execution and Routing on Pillar, the Exchange's New Trading Technology Platform
Comments due: April 19, 2018
Additional Materials: Exhibit 4, Exhibit 5
SR-NYSE-2018-09
34-82922 Mar. 22, 2018 Notice of Filing and Immediate Effectiveness of Proposed Change to Amend the Eleventh Amended and Restated Operating Agreement
Comments due: April 17, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-01
34-82831 Mar. 8, 2018 Order Approving Proposed Rule Change to Amend the Complimentary Products and Services Available to Certain Eligible New Listings Pursuant to Section 907.00 of the Exchange's Listed Company Manual
SR-NYSE-2017-53
34-82804 Mar. 5, 2018 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change To Amend the Listed Company Manual for Special Purpose Acquisition Companies To Lower the Initial Holders Requirement From 300 to 150 Round Lot Holders and To Eliminate Completely the 300 Public Stockholders Continued Listing Requirement, To Require at Least $5 Million in Net Tangible Assets for Initial and Continued Listing, and To Impose a 30-Day Deadline to Demonstrate Compliance with Certain Initial Listing Requirements Following a Business Combination
Comments due: March 30, 2018
Rebuttal comments due: April 13, 2018
SR-NYSE-2017-42
34-82796 Mar. 1, 2018 Order Granting Approval of Proposed Rule Change to Amend the NYSE Listed Company Manual to Modify Its Requirements with Respect to Physical Delivery of Proxy Materials to the Exchange
SR-NYSE-2018-06
34-82731 Feb. 16, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 902.11 of the Exchange's Listed Company Manual Concerning Fees Applicable to Acquisition Companies for Shares Issued in Connection with the Consummation of a Business Combination
Comments due: March 16, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-08
34-82706 Feb. 13, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List for Equity Transactions in Stocks with a Per Share Stock Price of $1.00 or More to Introduce a New Market at-the-Close and Limit at-the-Close Tier 3
Comments due: March 13, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-07
34-82640 Feb. 6, 2018 Notice of Filing and Immediate Effectiveness of Proposed Change to Amend Certain of the Governing Documents of its Intermediate Parent Companies
Comments due: March 5, 2018
Additional Materials: Exhibit 5
SR-NYSE-2017-30
34-82627 Feb. 2, 2018 Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 3, to Amend Section 102.01B of the NYSE Listed Company Manual to Provide for the Listing of Companies that List Without a Prior Exchange Act Registration and that Are Not Listing in Connection with an Underwritten Initial Public Offering and Related Changes to Rules 15, 104, and 123D
Comments due: March 1, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-05
34-82620 Feb. 1, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Users with Access to Two Additional Third Party Systems and Connectivity to One Additional Third Party Data Feed
Comments due: February 28, 2018
Additional Materials: Exhibit 5
SR-NYSE-2017-36
34-82613 Feb. 1, 2018 Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt New Equity Trading Rules for Trading UTP Securities on Pillar, Including Orders and Modifiers, Order Ranking and Display, and Order Execution and Routing
SR-NYSE-2018-04
34-82566 Jan. 22, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Listing Standard for Warrants in Section 703.12 of the Exchange's Listed Company Manual
Comments due: February 16, 2018
Additional Materials: Exhibit 5
SR-NYSE-2017-42
34-82565 Jan. 22, 2018 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend the NYSE Listed Company Manual to Modify Its Requirements with Respect to Physical Delivery of Proxy Materials to the Exchange
SR-NYSE-2018-03
34-82563 Jan. 22, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List
Comments due: February 16, 2018
Additional Materials: Exhibit 5
SR-NYSE-2017-53
34-82531 Jan. 18, 2018 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend the Listed Company Manual for Special Purpose Acquisition Companies To Lower the Initial Holders Requirement From 300 to 150 Round Lot Holders and To Eliminate Completely the 300 Public Stockholders Continued Listing Requirement, To Require at Least $5 Million in Net Tangible Assets for Initial and Continued Listing, and To Impose a 30-Day Deadline to Demonstrate Compliance with the Initial Listing Requirements Following a Business Combination
SR-NYSE-2017-23
34-82524 Jan. 17, 2018 Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-Phlx-2017-43, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30
SR-NYSE-2018-01
34-82506 Jan. 16, 2018 Notice of Filing of Proposed Rule Change to Amend the Complimentary Products and Services Available to Certain Eligible New Listings Pursuant to Section 907.00 of the Exchange's Listed Company Manual
Comments due: February 12, 2018
Additional Materials: Exhibit 5
SR-NYSE-2017-22
34-82503 Jan. 16, 2018 Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments, to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Additional File Nos.: SR-BatsBYX-2017-11, SR-BatsBZX-2017-38, SR-BatsEDGA-2017-13, SR-BatsEDGX-2017-22, SR-BOX-2017-16, SR-BX-2017-023, SR-C2-2017-017, SR-CBOE-2017-040, SR-CHX-2017-08, SR-FINRA-2017-011, SR-GEMX-2017-17, SR-IEX-2017-16, SR-ISE-2017-45, SR-MIAX-2017-18, SR-MRX-2017-04, SR-NASDAQ-2017-046, SR-NYSEArca-2017-52, SR-NYSEMKT-2017-26, SR-PEARL-2017-20, SR-Phlx-2017-37


NYSE File Number List for 2018

Release No. Date Details
SR-NYSE-2018-28
34-83454 Jun. 15, 2018 Notice of Filing of Proposed Rule Change to Make Permanent the Retail Liquidity Program Pilot, Rule 107C, Which is Currently Set to Expire on June 30, 2018
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSE-2018-27
34-83424 Jun. 13, 2018 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
Additional Materials: Exhibit 5
SR-NYSE-2018-26
34-83432 Jun. 14, 2018 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Amend Pillar trading Platform Rule 7.31 Relating to Reserve Orders and Rule 7.36 relating to Setter Priority
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NYSE-2018-25
34-83356 May 31, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.37 and Rule 17 with Respect to NYSE National's Reopening of Trading and Reactivating Connection to the Securities Information Processors
Comments due: June 27, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-24
34-83360 Jun. 1, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Proprietary Market Data Fee Schedule Regarding the NYSE Best Quote and Trades Market Data Feed
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSE-2018-23
34-83404 Jun. 11, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List Related to Co-location Services in Connection with the Re-launch of Trading on NYSE National, Inc. and Proposed NYSE National Co-location Services
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NYSE-2018-22
34-83359 Jun. 1, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Content of the NYSE Best Quote & Trades Data Feed
Comments due: 21 days after publication in the Federal Register
SR-NYSE-2018-21
34-83230 May 14, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List
Comments due: June 8, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-20
34-83221 May 11, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide Users with Connectivity to Three Additional Third Party Data Feeds and Change its Price List Related to these Co-location Services
Comments due: June 7, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-19
34-83342 May 30, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Intercontinental Exchange, Inc. Director Independence Policy
Comments due: June 26, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-18
34-83158 May 3, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Certificate of Incorporation of Its Parent Company NYSE Group, Inc.
Comments due: May 29, 2018
Additional Materials: Exhibit 5a
SR-NYSE-2018-17
34-83134 Apr. 30, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13
Comments due: May 25, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-16
34-83145 May 1, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make a Non-Substantive, Clarifying Change to Footnote 10 of Its Price List
Comments due: May 29, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-15
34-83113 Apr. 26, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Transaction Fees In Connection with the Exchange's Trading of UTP Securities on Pillar
Comments due: May 23, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-14
34-83117 Apr. 26, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 902.11 of the Exchange's Listed Company Manual Concerning Fees Applicable to Acquisition Companies for Shares Issued Contingent on the Consummation of a Business Combination
Comments due: May 23, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-11
34-82985 Apr. 3, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees Charged in Connection with the Filing of Supplemental Listing Applications in Connection with the Issuance of Convertible Securities
Comments due: April 30, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-10
34-82965 Mar. 29, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List
Comments due: April 25, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-09
34-82922 Mar. 22, 2018 Notice of Filing and Immediate Effectiveness of Proposed Change to Amend the Eleventh Amended and Restated Operating Agreement
Comments due: April 17, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-08
34-82706 Feb. 13, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List for Equity Transactions in Stocks with a Per Share Stock Price of $1.00 or More to Introduce a New Market at-the-Close and Limit at-the-Close Tier 3
Comments due: March 13, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-07
34-82640 Feb. 6, 2018 Notice of Filing and Immediate Effectiveness of Proposed Change to Amend Certain of the Governing Documents of its Intermediate Parent Companies
Comments due: March 5, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-06
34-82731 Feb. 16, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 902.11 of the Exchange's Listed Company Manual Concerning Fees Applicable to Acquisition Companies for Shares Issued in Connection with the Consummation of a Business Combination
Comments due: March 16, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-05
34-82620 Feb. 1, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Users with Access to Two Additional Third Party Systems and Connectivity to One Additional Third Party Data Feed
Comments due: February 28, 201
Additional Materials: Exhibit 5
SR-NYSE-2018-04
34-82566 Jan. 22, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Listing Standard for Warrants in Section 703.12 of the Exchange's Listed Company Manual
Comments due: February 16, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-03
34-82563 Jan. 22, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List
Comments due: February 16, 2018
Additional Materials: Exhibit 5
SR-NYSE-2018-01
34-82831 Mar. 8, 2018 Order Approving Proposed Rule Change to Amend the Complimentary Products and Services Available to Certain Eligible New Listings Pursuant to Section 907.00 of the Exchange's Listed Company Manual
34-82506 Jan. 16, 2018 Notice of Filing of Proposed Rule Change to Amend the Complimentary Products and Services Available to Certain Eligible New Listings Pursuant to Section 907.00 of the Exchange's Listed Company Manual
Comments due: February 12, 2018
Additional Materials: Exhibit 5