October 2008 |
|
| Date | Title | Type |
|---|
|
| 10/13/08 | Amex Friday Night Options Expiration October 17, 2008 | IDC |
| 10/09/08 | REG 2008-51: 2008 Mandatory Annual Regulatory Training | Rulings and Regulations, Systems Information |
| 10/09/08 | NYSE Amex Options Waives Trading Fees until 1st Quarter 2009 Platform Launch | ANTE, Member Services |
| 10/08/08 | REG 2008-50: Reminder: Annual Filing of Audited Financial Statements Pursuant to Securities Exchange Act Rule 17a-5 | Rulings and Regulations, Systems Information |
| 10/08/08 | ETF 08-042: ETFs Traded Pursuant to UTP to be suspended from Trading | ETFs |
| 10/06/08 | REG 2008-49: Update on SEC Emergency Orders - SEC's Emergency Order on Short Sales in securities of certain financial firms expires at 11:59 pm ET on Wednesday October 8, 2008 | Rulings and Regulations, Short Sales |
| 10/06/08 | ETF 08-041: Change in Market Closing Time for Selected Funds | ETFs |
| 10/03/08 | Settlement Date for Transactions Completed on Monday, October 13, 2008 | |
| 10/01/08 | REG 2008-47: "Circuit Breaker" Trading Halt Parameters for the Fourth Quarter of 2008 | Rulings and Regulations, Systems Information |
| 10/01/08 | REG 2008-48: SEC Extends Emergency Orders on Short Selling | Rulings and Regulations, Short Sales |
| 10/01/08 | REG 2008-46: Reminder - Upcoming October 15th Deadline for Submission of Written Supervisory Procedures for Floor Members Relocating to the NYSE Alternext US ("NYSE Alternext") by the Equities Implementation Date | Member Services, Rulings and Regulations |
| 10/01/08 | NYSE Euronext Completes Acquisition of Amex | |
|
September 2008 |
|
| Date | Title | Type |
|---|
|
| 09/30/08 | ETF 08-040: Bear Stearns Current Yield Fund (Ticker: YYY) to be liquidated | ETFs |
| 09/25/08 | REG 2008-45: Further guidance on SEC Emergency Order amending Short Sale Rules | Member Services, Rulings and Regulations, Short Sales |
| 09/24/08 | REG 2008-44: SEC Emergency Order prohibiting short sales in financial firms covered securities for September 25, 2008 – attachments show updates from prior day | Member Services, Rulings and Regulations, Short Sales |
| 09/23/08 | EMC-ANTE-10-08 ANTE - ANTE Tax Server Arbitration Method Mandatory Testing – October 4th 2008 (Saturday) | ANTE, Systems Information |
| 09/23/08 | REG 2008-43: 86 Trinity Permits (Final Notice) | Member Services, Rulings and Regulations, Short Sales |
| 09/22/08 | REG 2008-42: SEC Emergency Order Prohibiting Short Sales in Financial Firms Covered Securities for September 23, 2008 - REVISED - attachments show updates from prior day | Member Services, Rulings and Regulations, Short Sales |
| 09/22/08 | REG 2008-41: Amendments to SEC Emergency Order Prohibiting Short Sales in Financial Firms | Member Services, Rulings and Regulations, Short Sales |
| 09/22/08 | REG 2008-40: SEC Emergency Order prohibiting short sales in financial firms amended to include additional securities - READ CAREFULLY AS CHANGES ARE IMMEDIATELY EFFECTIVE | Member Services, Rulings and Regulations, Short Sales |
| 09/19/08 | REG 2008-37: SEC Emergency Order prohibiting short sales in 799 financial companies - READ CAREFULLY AS RULES ARE IMMEDIATELY EFFECTIVE | Member Services, Rulings and Regulations, Short Sales |
| 09/19/08 | REG 2008-39: Extension of Deadline for Submitting Contrary Exercise Advice | Member Services, Rulings and Regulations |
| 09/19/08 | REG 2008-38: Reporting Requirements Related to Planned Transfer of Equities Operations to NYSE Alternext US LLC | Member Services, Rulings and Regulations |
| 09/18/08 | ETF 08-039: Transfer of the iShares Nasdaq Biotechnology Index Fund (Ticker: IBB) | ETFs |
| 09/18/08 | REG 2008-36: SEC Emergency Order Amending Short Sale Rules - READ CAREFULLY AS RULES ARE IMMEDIATELY EFFECTIVE | Member Services, Rulings and Regulations, Short Sales |
| 09/17/08 | ETF 08-038: Transfer of 34 Vanguard ETFs to NYSE Arca | ETFs |
| 09/17/08 | REG 2008-35: New Rules Issued by SEC on Naked Short Selling - CORRECTED | Member Services, Rulings and Regulations |
| 09/12/08 | Amex Friday Night Options Expiration September 19, 2008 | IDC |
| 09/12/08 | Letter of Transmittal Information Session and Appointments for Individual Consultations | Member Services |
| 09/09/08 | NYSE/Amex Integration (NYSE Alternext U.S.): Revised Notice - NYSE system changes | Member Services, Systems Information |
| 09/02/08 | ETF 08-037: Market Vectors ETF Trust | ETFs |
|
August 2008 |
|
| Date | Title | Type |
|---|
|
| 08/29/08 | Market Data Fact Sheet - New Market Vectors ETF Anticipated to Begin Trading on Wednesday, September 3, 2008 | ETFs, Vendor Alerts |
| 08/25/08 | RT-015: AEMI FIX and AEMI Merged Order Logs Data and Format Updates | AEMI, Member Services, Systems Information |
| 08/22/08 | REG 2008-34: Training, Education and Certain Other Requirements Impacted by the Date Change for Transfer of Equities Trading to NYSE Alternext US ("NYSE Alternext") | Member Services, Rulings and Regulations |
| 08/22/08 | Elimination of Self-Reporting for Crossing Session II | Member Services, Rulings and Regulations |
| 08/21/08 | Closing of the Seat Market and Lease Transfer Processing | Member Services, Rulings and Regulations |
| 08/19/08 | REG 2008-33: 86 Trinity Permits - Information Sessions | Member Services, Rulings and Regulations |
| 08/19/08 | REG 2008-32: 86 Trinity Permits | Member Services, Rulings and Regulations |
| 08/11/08 | REG 2008-31: Changes to Disciplinary Proceedings as a Result of the Acquisition of the American Stock Exchange by NYSE Euronext | Rulings and Regulations, Member Services |
| 08/07/08 | Amex Friday Night Options Expiration August 15, 2008 | IDC |
| 08/04/08 | REG 2008-30: Additional Mandatory Regulatory Education via Learning Management System Related to Planned Transfer to NYSE Alternext US ("NYSE Alternext") | Rulings and Regulations, Member Services |
| 08/01/08 | REG 2008-29: Reminder - Mandatory regulatory education and operations training related to planned transfer to NYSE Alternext US ("NYSE Alternext") | Rulings and Regulations |
|
July 2008 |
|
| Date | Title | Type |
|---|
|
| 07/31/08 | REG 2008-28: Written Supervisory Procedures Related to Planned Transfer to NYSE Alternext US LLC ("NYSE Alternext") | Rulings and Regulations |
| 07/30/08 | REG 2008-27: SEC Extends Emergency Order Imposing Restrictions on Uncovered Short Sales in Certain Securities through August 12, 2008 | Rulings and Regulations, Short Sales, Systems Information |
| 07/25/08 | REG 2008-26: Reminder - Mandatory regulatory education and operations training related to planned transfer to NYSE Alternext US ("NYSE Alternext") | Rulings and Regulations, Systems Information |
| 07/22/08 | ETF 08-036: SPDR Index Shares Funds | ETFs |
| 07/18/08 | REG 2008-25: SEC Emergency Order Imposing Restrictions on Uncovered Short Sales in Certain Securities | Rulings and Regulations, Short Sales, Systems Information |
| 07/15/08 | Amex Friday Night Options Expiration July 18, 2008 | IDC |
| 07/11/08 | FINRA Code of Arbitration Procedures | Member Services, Rulings and Regulations |
| 07/09/08 | RT-014: AEMI Merged Order Logs Data Updates | AEMI, Member Services, Systems Information |
| 07/07/08 | REG 2008-24: Mandatory regulatory education and operations training related to planned transfer to NYSE Alternext US ("NYSE Alternext") | Rulings and Regulations, Systems Information |
| 07/01/08 | REG 2008-23: "Circuit Breaker" Trading Halt Parameters for the Third Quarter of 2008 | Rulings and Regulations, Systems Information |
|
June 2008 |
|
| Date | Title | Type |
|---|
|
| 06/30/08 | ETF 08-035: MacroShares $100 Oil Up Trust, MacroShares $100 Oil Down Trust | ETFs |
| 06/25/08 | Market Data Fact Sheet - 2 New MacroShares ETFs Anticipated to Begin Trading on Tuesday, July 1, 2008 | ETFs, Vendor Alerts |
| 06/24/08 | Amex to Publish the SPADE Oklahoma Index -- OKLAH | Vendor Alerts |
| 06/23/08 | Amex to Publish the MacroShares Applicable Reference Price of Crude Oil Index - RPCRX | Vendor Alerts |
| 06/20/08 | REG 2008-22: Exercise-by-Exception Threshold Change in Equity Options | Rulings and Regulations |
| 06/19/08 | Amex Early Close July 3, 2008 | IDC |
| 06/18/08 | REG 2008-21: Annual reconstitution of Russell Indexes on June 27, 2008 | Rulings and Regulations |
| 06/18/08 | Amex Friday Night Options Expiration June 20, 2008 | IDC |
| 06/16/08 | ETF 08-034: Early Termination of the MACROshares Oil Up Tradeable Shares and the MACROshares Oil Down Tradeable Shares | ETFs |
| 06/13/08 | REG 2008-20: Rule Change Amending the Definition of a "Complex Trade" | Rulings and Regulations |
| 06/12/08 | American Stock Exchange Index Discontinuations Notice | Vendor Alerts |
| 06/11/08 | ETF 08-033: ProShares Trust | ETFs |
| 06/11/08 | ETF 08-032: Rydex ETF Trust | ETFs |
| 06/10/08 | Market Data Fact Sheet - New ProShares ETFs Anticipated to Begin Trading on Thursday, June 12, 2008 | ETFs, Vendor Alerts |
| 06/10/08 | Market Data Fact Sheet - (8) New Rydex ETFs Anticipated to Begin Trading on Thursday, June 12, 2008 | ETFs, Vendor Alerts |
| 06/09/08 | REG 2008-19: The Specialist's Role and Exchange Rules Affecting the Relationship Between Issuers and Specialists | Rulings and Regulations |
|
May 2008 |
|
| Date | Title | Type |
|---|
|
| 05/30/08 | Transaction Fees for ETNs | |
| 05/29/08 | ETF 08-031: Upcoming Closure and Liquidation of Ameristock/Ryan ETFs | ETFs |
| 05/19/08 | ETF 08-030: PowerShares™ Exchange-Traded Fund Trust II | ETFs |
| 05/16/08 | Market Data Fact Sheet - New PowerShares ETFs Anticipated to Begin Trading on Tuesday, May 20, 2008 | ETFs, Vendor Alerts |
| 05/15/08 | ETF 08-029: SPDR Index Shares Funds | ETFs |
| 05/14/08 | Market Data Fact Sheet - SPDR S&P Emerging Markets Small Cap ETF (EWX) Anticipated to Begin Trading on Friday, May 16, 2008 | ETFs, Vendor Alerts |
| 05/12/08 | Amex Friday Night Options Expiration May 16, 2008 | IDC |
| 05/12/08 | ETF 08-028: SPDR Index Shares Funds | ETFs |
| 05/09/08 | ETF 08-027: NETS Trust | ETFs |
| 05/08/08 | Market Data Fact Sheet - New NETS ETFs Anticipated to Begin Trading on Monday, May 12, 2008 | ETFs, Vendor Alerts |
| 05/08/08 | Market Data Fact Sheet - (2) New State Street ETFs Anticipated to Begin Trading on Tuesday, May 13, 2008 | ETFs, Vendor Alerts |
| 05/07/08 | REG 2008-18: Fixed Return Options | Rulings and Regulations |
|
April 2008 |
|
| Date | Title | Type |
|---|
|
| 04/29/08 | Market Data Fact Sheet - (2) New ProShares ETFs Anticipated to Begin Trading on Thursday, May 1, 2008 | ETFs, Vendor Alerts |
| 04/29/08 | Morgan Stanley 10% SPARQS Linked to Apple Inc., due July 20, 2008 (AHY) called for redemption May 9, 2008 | |
| 04/24/08 | REG 2008-17: Members' continuing obligation to orders pending leaving the trading floor | Rulings and Regulations |
| 04/22/08 | ETF 08-026: ALPS ETF Trust | ETFs |
| 04/22/08 | ETF 08-025: ProShares Trust | ETFs |
| 04/22/08 | ETF 08-024: Market Vectors ETF Trust ****REVISED**** | ETFs |
| 04/21/08 | Market Data Fact Sheet - Market Vectors-Solar Energy ETF (KWT) Anticipated to Begin Trading on Tuesday, April 22, 2008 | ETFs, Vendor Alerts |
| 04/18/08 | Amex to begin publishing 20 new index values on Friday, April 18, 2008 | Vendor Alerts |
| 04/18/08 | REG 2008-16: Aggregation of accounts required in options on XNG and MNG for position and exercise limit purposes | Rulings and Regulations |
| 04/14/08 | Amex Friday Night Options Expiration April 18, 2008 | IDC |
| 04/10/08 | ETF 08-023: NETS Trust | ETFs |
| 04/09/08 | REG 2008-15: April 14th application deadline for Members seeking Exchange approval of existing electronic communications or proprietary trading systems on the trading floor | Rulings and Regulations |
| 04/08/08 | Morgan Stanley 8% SPARQS Linked to Archer- Daniels- Midland Company, due April 20, 2008 (AMA) called for redemption April 18, 2008 | |
| 04/08/08 | Morgan Stanley 12% SPARQS Linked to Arch Coal, Inc., due September 20 20, 2008 (AHB) called for redemption April 18, 2008 | |
| 04/07/08 | Market Data Fact Sheet -United States Heating Oil Fund, LP Anticipated to Begin Trading on Wednesday, April 9, 2008 | ETFs, Vendor Alerts |
| 04/07/08 | Market Data Fact Sheet - New NETS ETFs Anticipated to Begin Trading on Wednesday,April 9, 2008 | ETFs, Vendor Alerts |
| 04/07/08 | ETF 08-022: NETS Trust | ETFs |
| 04/07/08 | ETF 08-021: United States Heating Oil Fund, L.P. | ETFs |
| 04/07/08 | ETF 08-020: ETF Traded Pursuant to UTP to be suspended from Trading | ETFs |
| 04/07/08 | ETF 08-019: Selected Funds to Trade Pursuant to UTP | ETFs |
| 04/03/08 | REG 2008-14: Aggregation of accounts for position and exercise limit purposes | Rulings and Regulations |
| 04/03/08 | Paramount Gold and Silver Corp. Trading Update | |
| 04/01/08 | REG 2008-13: "Circuit Breaker" Trading Halt Parameters for the Second Quarter of 2008 | Rulings and Regulations, Systems Information |
|
March 2008 |
|
| Date | Title | Type |
|---|
|
| 03/31/08 | REG 2008-12: Change in allocation of electronically delivered and executed option orders for five contracts or less | AEMI, BARS, Rulings and Regulations, Systems Information |
| 03/27/08 | REG 2008-11: Options Penny Quoting Pilot Program - additional options classes | Rulings and Regulations |
| 03/27/08 | ETF 08-018: ProShares Trust | ETFs |
| 03/26/08 | RT-013: AEMI Post Trade Report - AMOL Data Type Length Change for Firm Used Sorting Fields | AEMI |
| 03/25/08 | Market Data Fact Sheet - (2) New ProShares ETFs Anticipated to Begin Trading on Thursday, March 27, 2008 | ETFs, Vendor Alerts |
| 03/25/08 | ETF 08-016: Bear Stearns Active ETF Trust | ETFs |
| 03/24/08 | REG 2008-10: Trading rules applicable to certain Exchange Traded Notes | Rulings and Regulations |
| 03/18/08 | ETF 08-017: SPDR Series Trust | ETFs |
| 03/14/08 | REG 2008-08: Members' use of electronic communications and proprietary trading systems - Exchange approval required | Rulings and Regulations |
| 03/14/08 | REG 2008-09: BARS order entry when brokers handle market maker orders in AEMI | AEMI, BARS, Rulings and Regulations, Systems Information |
| 03/13/08 | Market Data Fact Sheet - SPDR DB International Government Inflation-Protected Bond ETF (WIP) Anticipated to Begin Trading on Wednesday, March 19, 2008 | ETFs, Vendor Alerts |
| 03/13/08 | Market Data Fact Sheet - Bear Stearns Current Yield Fund (YYY) Anticipated to Begin Trading on Tuesday, March 18, 2008 | ETFs, Vendor Alerts |
| 03/12/08 | REG 2008-07: Modifications to Auto-Ex tolerances in AEMI | Rulings and Regulations, Systems Information |
| 03/12/08 | REG 2008-06: Late Publishing of Regulation SHO "Threshold Securities" List Effective as of Wednesday, March 12, 2008 | Rulings and Regulations, Systems Information |
| 03/10/08 | Amex Only Orders | AEMI, Systems Information |
| 03/04/08 | REG 2008-05: NDX and RUT combination orders | ANTE, Rulings and Regulations, Systems Information |
| 03/03/08 | Amex Thursday Night Options Expiration March 20, 2008 | IDC |
|
February 2008 |
|
| Date | Title | Type |
|---|
|
| 02/29/08 | Amex to Cease Dissemination of 44 Index Values | Vendor Alerts |
| 02/27/08 | Amex to Cease Publication of the BIRLCC, BIRMCV, BIRSCC, & CLRMCG Indexes After the Close of February 29, 2008 | Vendor Alerts |
| 02/25/08 | ETF 08-015: Market Vectors ETF Trust | ETFs |
| 02/25/08 | ETF 08-014: United States Gasoline Fund, L.P. | ETFs |
| 02/22/08 | Amex to cease as calculation agent for the Morningstar Dividend Leaders Index (MDL) and the Morningstar Dividend Leaders Total Return Index (MDLTR) | Vendor Alerts |
| 02/21/08 | Market Data Fact Sheet - United States Gasoline Fund, LP ETF (UGA) Anticipated to Begin Trading on Tuesday, February 26, 2008 | ETFs, Vendor Alerts |
| 02/21/08 | Market Data Fact Sheet - Market Vectors- Lehman Brothers AMT Free Short Municipal ETF (SMB) Anticipated to Begin Trading on Tuesday, February 26, 2008 | ETFs, Vendor Alerts |
| 02/15/08 | ETF 08-013: Liquidation Processing of Selected Claymore ETFs on Wed., 02/20/08 (LAST DAY of Trading, Tues., 02/19/08) | ETFs |
| 02/15/08 | ETF 08-012: SPDR Index Shares Funds | ETFs |
| 02/14/08 | Market Data Fact Sheet - SPDR S&P International Dividend ETF (DWX) Anticipated to Begin Trading on Tuesday, February 19, 2008 | ETFs, Vendor Alerts |
| 02/11/08 | Amex Friday Night Options Expiration February 15, 2008 | IDC |
| 02/11/08 | ETF 08-011: Claymore Exchange-Traded Fund Trust | ETFs |
| 02/08/08 | Market Data Fact Sheet - New Claymore ETFs Anticipated to Begin Trading on Tuesday, February 12, 2008 | ETFs, Vendor Alerts |
| 02/07/08 | ETF 08-009: Re-allocation of selected ETFs traded pursuant to UTP | ETFs |
| 02/07/08 | American Apparel Inc. Warrants, expiring December 14, 2009 (APP.WS) called for redemption March 7, 2008 | |
| 02/01/08 | ETF 08-008: Upcoming Closure and Liquidation of Selected Claymore ETFs | ETFs |
|
January 2008 |
|
| Date | Title | Type |
|---|
|
| 01/31/08 | REG 2008-04: ABC Rollout - Clarification of Selected Regulatory Matters | Rulings and Regulations, Systems Information |
| 01/30/08 | ETF 08-007: PowerShares Exchange-Traded Fund Trust II | ETFs |
| 01/29/08 | Market Data Fact Sheet - PowerShares Preferred Portfolio (PGX) that is anticipated to begin trading on January 31, 2008 | ETFs, Vendor Alerts |
| 01/29/08 | ETF 08-006: Claymore Exchange-Traded Fund Trust 2 | ETFs |
| 01/28/08 | Market Data Fact Sheet - Claymore/AlphaShares China Small Cap Index ETF (HAO) that is anticipated to begin trading on January 30, 2008 | ETFs, Vendor Alerts |
| 01/25/08 | Requirements to Participate in Open Outcry Trading Today, 01/25/08 | ANTE, IDC, Systems Information |
| 01/24/08 | RT-011: AEMI Post Trade Report - AMOL Maker Taker Transaction Fees | AEMI, Member Services, Systems Information |
| 01/23/08 | REG 2008-03: Implementation of Amex Book Clerks | Rulings and Regulations, Systems Information |
| 01/23/08 | ETF 08-005: GreenHaven Continuous Commodity Index Fund | ETFs |
| 01/23/08 | ETF 08-004: Market Vectors ETF Trust | ETFs |
| 01/23/08 | Requirements to Participate in Open Outcry Trading Today, 01/23/08 | ANTE, IDC, Systems Information |
| 01/22/08 | Market Data Fact Sheet - Greenhaven Continuous Commodity Index Fund (GCC) Anticipated to Begin Trading on January 24, 2008 | ETFs, Vendor Alerts |
| 01/18/08 | Market Data Fact Sheet - Market Vectors - Gaming ETF (BJK) Anticipated to Begin Trading on Tuesday, January 24, 2008 | ETFs, Vendor Alerts |
| 01/17/08 | ETF 08-003: New Income Distribution Schedule for International iShares ETFs | ETFs |
| 01/14/08 | Amex Friday Night Options Expiration January 18, 2008 | IDC |
| 01/14/08 | MANDATORY ANTE 1.5.0. Product Testing | ANTE, Systems Information |
| 01/11/08 | ETF 08-002: Change in Market Closing Time for Selected Funds | ETFs |
| 01/11/08 | Morgan Stanley 8% SPARQS Linked to Monsanto Company, expiring July 20, 2008 (MAO) called for redemption January 22, 2008 | |
| 01/09/08 | REG 2008-02: Exchange Anti-Gambling Policy | Rulings and Regulations |
| 01/04/08 | ETF 08-001: Market Vectors ETF Trust | ETFs |
| 01/03/08 | Market Data Fact Sheet - Market Vectors-Lehman Brothers AMT-Free Long Municipal Index ETF (MLN) Anticipated to Begin Trading on Monday, January 7, 2008 | ETFs, Vendor Alerts |
| 01/02/08 | REG 2008-01: "Circuit Breaker" Trading Halt Parameters for the First Quarter of 2008 | Rulings and Regulations, Systems Information |
|