From: SECDocs | Date: 6/2/2008 | Rated: 0 (0) | Views: 14 | Downloads: 0

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john A,Thain Ulief Executive Officer L'NYSE Euronext 7 1 Wall Street New Y'rk. New Yark 10065 t 212.656.2800 1f 212.656.5595 September 14,2007 Ms. Nancy M. Morris Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-1090 Re: Mutual Recognition on the Basis of Substituted Compliance Dear Ms. Morris: NY ...  more>>

From: SECDocs | Date: 5/30/2008 | Rated: 0 (0) | Views: 12 | Downloads: 0

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SECURITIES AND EXCHANGE COMMISSION (Release No. 34-56588; File No. SR-NYSE-2007-92) October 1, 2007 Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Rules 104(b) and 123D Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”)1 and R ...  more>>

From: SECDocs | Date: 6/2/2008 | Rated: 0 (0) | Views: 8 | Downloads: 0

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SECURITIES AND EXCHANGE COMMISSION (Release No. 34-56588; File No. SR-NYSE-2007-92) October 1, 2007 Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Rules 104(b) and 123D Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”)1 and R ...  more>>

From: SECDocs | Date: 5/30/2008 | Rated: 0 (0) | Views: 11 | Downloads: 0

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SECURITIES AND EXCHANGE COMMISSION (Release No. 34-53932; File No. SR-NYSE-2006-01) June 1, 2006 Self-Regulatory Organizations; New York Stock Exchange, Inc. (n/k/a New York Stock Exchange LLC); Notice of Filing of Proposed Rule Change Relating to Exchange Rule 1000 (NYSE Direct+) Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934  ...  more>>

From: SECDocs | Date: 6/2/2008 | Rated: 0 (0) | Views: 14 | Downloads: 0

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SECURITIES AND EXCHANGE COMMISSION (Release No. 34-53932; File No. SR-NYSE-2006-01) June 1, 2006 Self-Regulatory Organizations; New York Stock Exchange, Inc. (n/k/a New York Stock Exchange LLC); Notice of Filing of Proposed Rule Change Relating to Exchange Rule 1000 (NYSE Direct+) Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934  ...  more>>

From: SECDocs | Date: 5/30/2008 | Rated: 0 (0) | Views: 17 | Downloads: 0

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Janet Angstadt Acting General Counsel NYSE Arca, Inc. Legal 100 S. Wacker Drive | Suite 1800 Chicago, Illinois 60606 tel: 312.960.1696 fax: 312.960.1369 janet@nyse.com August 25, 2006 Via email to rule-comments@sec.gov Ms. Nancy J. Morris Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-9303 Re: NYSEArca Data Fil ...  more>>

From: SECDocs | Date: 5/30/2008 | Rated: 0 (0) | Views: 14 | Downloads: 0

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Mary Yeager Corporate Secretary NYSE Arca, Inc. 11 Wall Street New York, NY 10005 tel: 212.656.2062 fax: 212.656.3939 myeager@nyse.com January 9, 2007 Via email to rule-comments@sec.gov Nancy M. Morris, Esq. Secretary U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549-9303 RE: File No. SR-NYSEArca-2006-73 Dear Ms. Mo ...  more>>

From: SECDocs | Date: 6/2/2008 | Rated: 0 (0) | Views: 11 | Downloads: 0

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Mary Yeager Corporate Secretary NYSE Arca, Inc. 11 Wall Street New York, NY 10005 tel: 212.656.2062 fax: 212.656.3939 myeager@nyse.com January 9, 2007 Via email to rule-comments@sec.gov Nancy M. Morris, Esq. Secretary U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549-9303 RE: File No. SR-NYSEArca-2006-73 Dear Ms. Mo ...  more>>

From: SECDocs | Date: 5/30/2008 | Rated: 0 (0) | Views: 33 | Downloads: 0

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NEW YORK STOCK EXCHANGE LLC NYSE HEARING BOARD DECISION 07-44 RBC DAIN RAUSCHER, INC. MEMBER ORGANIZATION * * * March 23, 2007 Violated NYSE Rule 445 requiring member organizations to establish an adequate Anti-Money Laundering compliance program, by failing to establish written procedures regarding filing of Suspicious Activity Reports, to cond ...  more>>

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Mary Yeager Assistant Secretary Office of the Secretary 11 Wall St New York, New York 10005 t 1 212.656.2062 | f 1 212.656.3939 myeager@nyse.com Via email to rule-comments@sec.gov October 19, 2007 Ms. Nancy M. Morris Secretary Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549-9303 Re: Acceptance from Foreign Private Is ...  more>>

From: SECDocs | Date: 6/2/2008 | Rated: 0 (0) | Views: 8 | Downloads: 0

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Mary Yeager Assistant Secretary Office of the Secretary 11 Wall St New York, New York 10005 t 1 212.656.2062 | f 1 212.656.3939 myeager@nyse.com Via email to rule-comments@sec.gov October 19, 2007 Ms. Nancy M. Morris Secretary Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549-9303 Re: Acceptance from Foreign Private Is ...  more>>

From: SECDocs | Date: 5/30/2008 | Rated: 0 (0) | Views: 9 | Downloads: 0

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SECURITIES AND EXCHANGE COMMISSION (Release No. 34-54847; File No. SR-NYSE-2006-97) November 30, 2006 Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change to NYSE Rule 342.30 Pursuant to Section 19(b)(1) 1 of the Securities Exchange Act of 1934 (“Act”), 2 and Rule 19b-4 thereunder, notice is hereby gi ...  more>>

From: SECDocs | Date: 5/30/2008 | Rated: 0 (0) | Views: 9 | Downloads: 0

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NYSE Bid & Offer Average Quote Weighted Median Bid Size Offer Size Bid & Offer Nasdaq Bid Size Offer Size Bid & Offer Boston Bid Size Offer Size Bid & Offer Cincinnati Bid Size Offer Size Bid & Offer Chicago Bid Size Offer Size Bid & Offer Pacific Bid Size Offer Size Bid & Offer Philadelphia Bid Size Offer Size 3,323 3,203 2,525 2,825 2,793 ...  more>>

From: SECDocs | Date: 6/2/2008 | Rated: 0 (0) | Views: 17 | Downloads: 0

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NYSE Bid & Offer Average Quote Weighted Median Bid Size Offer Size Bid & Offer Nasdaq Bid Size Offer Size Bid & Offer Boston Bid Size Offer Size Bid & Offer Cincinnati Bid Size Offer Size Bid & Offer Chicago Bid Size Offer Size Bid & Offer Pacific Bid Size Offer Size Bid & Offer Philadelphia Bid Size Offer Size 3,323 3,203 2,525 2,825 2,793 ...  more>>

From: SECDocs | Date: 5/30/2008 | Rated: 0 (0) | Views: 11 | Downloads: 0

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john A. Thain Chief Executive Officer 1 NYSE Group April 27,2006 Re: NASD/Nasdaq Trade Reporting Facility Release No. 34-52049; File No. 10-131 Dear Chairman Cox: NYSE Group, ~ f n 11'1'3 Wti Ste& ~. r m ark, INW b r k 160,6J u t 222.53f~"LSW1 f Z'SZ.G%S595 The New York Stock Exchange is deeply concerned about the proposal of the NASD to form a  ...  more>>