In October 2011, the NYSE and NYSE Amex announced the introduction of a first-of-its-kind Retail Liquidity Program, pending SEC approval, that would produce cost savings for individual investors through price improvement to retail order flow. Below we note two clarifications to the initial Trader Alert of October 25, 2011:

On January 17, 2012, NYSE/NYSE Amex will begin implementation of two changes to the operation of pegging e-Quotes.

Effective January 1, 2012, pending SEC filing, NYSE and NYSE Amex establish the following changes to the equities trading schedules for all securities:

The NYSE Amex is currently trading 325 NASDAQ-listed securities under Unlisted Trading Privileges (UTP). Please see the below link for a complete list of the symbols and their trading floor locations, as of December 27, 2011.

NASDAQ-listed UTP Symbols

Due to a systemic issue that caused queuing of customer orders entering through NYSE Broker Systems, last night’s closing auction for the bulk of our listed companies was delayed until approximately 4:05 pm to ensure that all customer interest could participate. The root cause of the order queuing is currently under review. Going forward, if there is a need to hold the close due to systemic issues, we will send a market wide notice to customers informing them of the event at 4:00 pm. Finally, we would like to apologize for any inconvenience that the slower closing auction may have caused you or your customers.

Effective Friday, November 25, 2011, trades in all Rights and Warrants issues will cease to be eligible to trigger Single Stock Circuit Breakers on the NYSE and NYSE Amex markets.

For further details, please reference the SEC filings below:

NYSE
NYSE Amex

Effective November 28, 2011, all NMS stocks will be OATS eligible.

• Member Organizations that route orders to the NYSE Broker Systems must populate their firm’s Market Participant Identifier (“MPID”) as prescribed in the Common Customer Gateway informational memo dated June 7, 2011 (linked below)
  

The subscription-based “Done for Day” service for NYSE and NYSE Amex Equities immediately returns an unsolicited “UROUT” message for all open Day orders following each individual security’s closing trade. For securities that do not have a closing transaction, an unsolicited “UROUT” message is returned at the designated 5:15 p.m. ET cutoff time. In response to customer requests, beginning Monday, November 21, 2011, the NYSE will move the “Done for Day” cutoff time earlier to 4:45 p.m.

For any questions or to subscribe to the “Done for Day” service, please contact
• your Relationship manager
• Firm Testing at (888) 689-7739 Option 2
• Email: firmtesting@nyx.com.