Previously, the NYSE announced its compliance with the 2008 SEC accord to support uniform symbology across all exchanges, along with availability for firms to test both four- and five-character root symbols in the User Acceptance Test (UAT) environment (see the December 2, 2008 Trader Update).

On or about October 16, the NYSE e-Broker™ hand-held device is being enhanced to allow Floor Brokers to route interest to a new Third Party Algorithm (“Algo”) provider. CCG customers may receive new values in Tag 9570 (ExecAwayMktId) and Merged Order Log users may receive new billing indicator values (position 157 on report messages (2A-2E)) on execution reports for interest routed through a third party broker algorithm. Third party algo providers may elect to accept responsibilities for transaction fees and bill customers directly for this service. New values are listed below:

• "F" representing NYSE e-Broker hand-held interest routed to the NYSE Trading Systems
• "G" representing NYSE e-Broker hand-held interest routed away from the NYSE Trading Systems

For more details regarding Third Party Broker Algos and NYSE System processing
Third Party Algo Information Memo

Effective Monday, October 5, 2009, the NYSE is amending its Rule 128, entitled Clearly Erroneous Executions. The amended rule is the result of a coordinated effort among all national securities exchanges to improve the consistency of clearly erroneous execution rules at such exchanges and to add more objective criteria to be used in handling clearly erroneous executions. NYSE AMEX is adopting the same rule. Key components of the Rule are highlighted in the attached Information Memo.

Regulation Information Memo