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

Effective September 1, 2011, pending SEC filing, NYSE Amex is making the following pricing changes to its equities trading schedule for Nasdaq-Listed (Tape C) securities priced at or above $1:

The NYSE Amex is currently trading 320 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 June 27, 2011.

NASDAQ-listed UTP Symbols

Effective April 1, 2011, pending SEC filing, NYSE Amex is making the following changes to its equities trading schedule:

The NYSE Amex plans to begin trading additional Nasdaq symbols under UTP. We will add 85 Nasdaq symbols on Wednesday, September 8th,2010.

Please find the symbol activation roll out schedule on the linked below:
NASDAQ UTP Activation Schedule NYSE Amex

The week of August 16, 2010, the NYSE and NYSE Amex will migrate the trading of additional symbols to their new Data Center in Mahwah, NJ. Symbols for the second week are available via the following link:

Mahwah Migration Schedule

Should you have any questions, please contact:
Michael Paulyson at mpaulyson@nyx.com or 212.656.2721
Robert Airo at rairo@nyx.com or 212.656.5663

The NYSE Amex plans to begin trading additional Nasdaq symbols under UTP. We will add 26 Nasdaq symbols on Tuesday, July 27, 2010. Please find the symbol activation roll out schedule on the NYSE Equities Reference page linked below:
NASDAQ UTP Activation Schedule NYSE Amex

Related Links:
NYSE Equities Reference Page

The NYSE Amex plans to begin trading additional Nasdaq symbols under UTP. We will add 30 Nasdaq symbols on Monday, July 26, 2010. Please find the symbol activation roll out schedule on the NYSE Equities Reference page linked below:
NASDAQ UTP Activation Schedule NYSE Amex

Related Links:
NYSE Equities Reference Page

The NYSE Amex plans to begin trading additional Nasdaq symbols under UTP. We will add 62 Nasdaq symbols on Friday, July 23, 2010. Please find the symbol activation roll out schedule on the NYSE Equities Reference page linked below:
NASDAQ UTP Activation Schedule NYSE Amex

Related Links:
NYSE Equities Reference Page

The NYSE Amex plans to begin trading additional Nasdaq symbols under UTP. We will add 92 Nasdaq symbols on Thursday, July 22, 2010. Please find the symbol activation roll out schedule on the NYSE Equities Reference page linked below:
NASDAQ UTP Activation Schedule NYSE Amex

Related Links:
NYSE Equities Reference Page

The NYSE Amex plans to begin trading additional Nasdaq symbols under UTP. We will add 150 Nasdaq symbols on Tuesday, July 20, 2010 and 120 more on Wednesday, July 21, 2010. Please find the symbol activation roll out schedule on the NYSE Equities Reference page linked below:
NASDAQ UTP Activation Schedule NYSE Amex

Related Links:
NYSE Equities Reference Page

The NYSE Amex plans to begin trading additional Nasdaq symbols under UTP. We will add 120 Nasdaq symbols on Monday, July 19, 2010. Please find the symbol activation roll out schedule on the NYSE Equities Reference page linked below:
NASDAQ UTP Activation Schedule NYSE Amex

Related Links:
NYSE Equities Reference Page

The NYSE Amex plans to begin trading additional Nasdaq symbols under UTP. We will add 42 Nasdaq symbols on Thursday, July 15, 2010 and 52 more on Friday, July 16, 2010. Please find the symbol activation roll out schedule on the NYSE Equities Reference page linked below:
NASDAQ UTP Activation Schedule NYSE Amex

Related Links:
NYSE Equities Reference Page

On Monday, July 12, the NYSE Amex received approval of its filing to begin trading Nasdaq Listed Securities under Unlisted Trading Privileges (UTP) on Friday, July 9, 2010. On Tuesday, July 13, 2010, the NYSE Amex will begin trading the following ten Nasdaq symbols:

This Saturday, July 10, 2010 is the next scheduled opportunity for firms to test trading of NASDAQ equities on the NYSE Amex on an Unlisted Trading Privilege (UTP) basis. Firms wishing to participate in the test must register by sending an email to Michael Paulyson at mpaulyson@nyx.com. Once registered, additional information will be provided regarding the available symbols and test procedures. Please see the linked documents below for further details.


NYSE Amex Trading of NASDAQ-Listed Securities Under UTP - Update
Trading Technology Info Memo - NYSE Amex Trading of NASDAQ Symbols Under UTP – Industry Testing
Trading Technology Info Memo - NYSE Amex Trading of NASDAQ Symbols Under UTP

This Saturday, May 15, 2010 is the next scheduled opportunity for firms to test trading of NASDAQ equities on the NYSE Amex on an Unlisted Trading Privilege (UTP) basis. Firms wishing to participate in the test must register by sending an email to Michael Paulyson at mpaulyson@nyx.com. Please see the linked documents below for further details.


NYSE Amex Trading of NASDAQ-Listed Securities Under UTP - Update
Trading Technology Info Memo - NYSE Amex Trading of NASDAQ Symbols Under UTP – Industry Testing
Trading Technology Info Memo - NYSE Amex Trading of NASDAQ Symbols Under UTP
Trading Technology Info Memo - PT 160

NYSE Amex has previously announced plans to trade NASDAQ-listed equities and select ETFs on an Unlisted Trading Privilege (UTP) basis as an additional trading venue. On April 19, 2010, the SEC formally published the NYSE’s rule filing in the Federal Register. NYSE Amex is offering two additional weekend testing opportunities on May 1 and May 15, 2010. Please reference prior notices for testing and registration procedures.

This Saturday, March 27, 2010 is the next scheduled opportunity for firms to test trading of NASDAQ equities on the NYSE Amex on an Unlisted Trading Privilege (UTP) basis. Firms wishing to participate in the test must register by sending an email to Michael Paulyson at mpaulyson@nyx.com. Please see the linked documents below for further details.

Trading Technology Info Memo - NYSE Amex Trading of NASDAQ Symbols Under UTP – Industry Testing
Trading Technology Info Memo - NYSE Amex Trading of NASDAQ Symbols Under UTP
Trading Technology Info Memo - PT 160

Approval to allow the NYSE Amex to launch trading of NASDAQ Symbols equities on an Unlisted Trading Privilege (UTP) basis is currently pending with the SEC. As such, the target launch date has been extended to the April time frame. In support of that effort, the NYSE has scheduled the following additional Saturday industry testing opportunities in the production environment:

March 27, 2010
April 10, 2010

Firms wishing to participate in the test must register by sending an email to Michael Paulyson at mpaulyson@nyx.com. Please see the linked documents below for further details.

Trading Technology Info Memo - NYSE Amex Trading of NASDAQ Symbols Under UTP – Industry Testing
Trading Technology Info Memo - NYSE Amex Trading of NASDAQ Symbols Under UTP
Trading Technology Info Memo - PT 160

Pending SEC Approval, in the latter part of the first quarter of 2010, the NYSE Amex plans to begin trading NASDAQ equities on an Unlisted Trading Privilege (UTP) basis. In support of that effort, the NYSE has scheduled the following additional Saturday industry testing opportunities in the production environment:

On October 1, 2009, Amex equities increased the liquidity-providing rebate for all customers to $0.0030 per share from $0.0015 in securities priced above $1, including displayed and non-displayed orders. The take rate for removing liquidity remained $0.0025. As described, this inverted pricing plan would be in effect for a minimum of three months.

As previously announced, in the first quarter of 2010, the NYSE Amex plans to trade NASDAQ listed equities on an Unlisted Trading Privilege (UTP) basis. In support of that effort, [+]the NYSE has been supporting Saturday industry testing opportunities in the production environment, the next of which is scheduled for Saturday, December 12, 2009. Firms wishing to participate in the test must register by sending an email to Michael Paulyson at mpaulyson@nyx.com. Please see the linked documents below for further details.

Trading Technology Info Memo - NYSE Amex Trading of NASDAQ Symbols Under UTP – Industry Testing
Trading Technology Info Memo - NYSE Amex Trading of NASDAQ Symbols Under UTP
Trading Technology Info Memo - PT 160

Effective October 1, 2009, NYSE Amex equities will increase the liquidity-providing rebate for all customers to $0.0030 per share from $0.0015 in securities priced above $1, including displayed and non-displayed orders. The take rate for removing liquidity remains $0.0025. In addition to receiving a higher rebate, posted customer orders have a strong chance of first execution given our aggressive liquidity takers and the benefits of a parity market. The inverted pricing plan will be in effect for a minimum of three months.

Arca ETP holders may also take advantage of this inverted pricing by using the PO+ order type to send orders to NYSE Amex.

If you have questions please contact your Relationship Manager.

NYSE Amex Trader Update Notice

Effective October 1, 2009, NYSE Amex equities will increase the liquidity-providing rebate for all customers to $0.0030 per share from $0.0015 in securities priced above $1, including displayed and non-displayed orders. The take rate for removing liquidity remains $0.0025. In addition to receiving a higher rebate, posted customer orders have a strong chance of first execution given our aggressive liquidity takers and the benefits of a parity market. The inverted pricing plan will be in effect for a minimum of three months.

If you have questions please contact your Relationship Manager.
Inverted Pricing Special Memo

Effective April 1, 2009 the transaction fee applicable to NYSE floor brokers taking liquidity in NYSE Amex listed securities when routing via the hand held or BBSS will be $0.0020 per share.

The Exchange is modifying the 2009 NYSE Amex Price List to clarify that floor brokers are NOT charged a fee in connection with all agency cross trades.

NYSE Amex Rule Filing 2009-08

To update the March 5, 2009 Information Memo, NYSE Euronext will migrate one low volume NYSE cash equities symbol from the SuperDOT® (SDOT) databases to a newly implemented Super Display Book (SDBK) database in production on Monday, March 16, 2009. Trading in the pilot stock will take place through the settlement cycle and the systems will be adjusted as required before the stock symbol is announced and before any further rollout commences.

As previously communicated in the March 5, 2009 Information Memo, NYSE Euronext will be migrating NYSE and NYSE Amex cash equities from the SuperDOT® (SDOT) databases to a newly implemented Super Display Book (SDBK) database. Firms wishing to test their systems in the new SDBK database environment can do so in the User Acceptance Test (UAT) environment between the hours of 9:00 AM and 10:00 PM (with product support available between 9:00 AM and 5:00 PM).

The SEC approved the NYSE Euronext rebranding of NYSE Alternext US to NYSE Amex on Friday, March 6, 2009. NYSE Euronext completed its acquisition of the American Stock Exchange (Amex) on October 1, 2008 and post merger renamed the Amex Equities SRO to NYSE Alternext US LLC, while the options business was rebranded as NYSE Amex Options. The impetus for the name change to NYSE Amex was driven by a desire to simplify our naming conventions by rebranding all Amex assets under one name as well as by feedback from our issuer, trading and customer communities.

As previously announced, NYSE Euronext will be migrating NYSE and NYSE Alternext US cash equities from the SuperDOT® (SDOT) databases to a newly implemented Super Display Book (SDBK) database, providing significant improvements in performance and functionality. The migration will be a phased approach on a stock by stock basis beginning on or about Friday, March 13, 2009 in a limited number of stocks.

Today, all orders intended for the NYSE Broker Handheld (e-Broker™) on the NYSE trading floor must be routed through the Exchange’s order management system, NYSE BBSS®. Pending SEC approval, the NYSE will introduce a new service to allow orders to be routed directly to a Brokers wireless handheld device on the Trading Floor. This optional service will provide customers with greater choice, flexibility and redundancy when routing orders to a floor broker through the Common Customer Gateway (CCG).

See the attached NYSE Trading Technology Information Memo for additional information specifying FIX protocol changes that will support this new routing capability as well as additional details about the features and enhancements in the NYSE combined broker systems accompanying this new service. An NYSE Trader Update Notice will be sent once the anticipated SEC approval is received.

NYSE Trading Technology Information Memo

Member firms were informed on January 20, 2009, that the NYSE completed the migration to the new Common Customer Gateway ^SM order entry system and will begin to implement Phase II of our systems upgrades.

This technical notice, dated February 2, 2009, provides the details for the functional enhancements being introduced as part of the stock migration to the new SDBK^SM Database. Current NYSE and NYSE Alternext US Equities Trading functionality remains, unless explicitly stated otherwise.

In addition, a SDBK FAQ has been included for your reference at end of this notification.
Trading Technology Information Memo (January 20th, 2009)
Trading Technology Information Memo (February 2nd, 2009)

Pursuant to NYSE Alternext US LLC information circular No. 89-49, dated March 29, 1989, a cancellation of open orders was announced and effected for open orders on the books of the specialist for issues that were halted in excess of 30 days. Effective immediately, in order to be consistent with NYSE Euronext policies and procedures, the process of cancelling open orders in NYSE Alternext US LLC issues that were halted in excess of 30 days has been discontinued.

For questions concerning the above, please contact Kerri Ramirez at (212) 656-5542.

We are pleased to announce the relocation today of the NYSE Alternext US (former Amex) equities business from 86 Trinity Place to 11 Wall Street, New York. NYSE Alternext US equities and closed-end funds are now traded on Posts 1 and 2 on the NYSE floor.

With the relocation, we have completed a number of changes that position NYSE Alternext US as one of the premier markets for listing and trading of small- and micro-cap securities. Highlights of the changes include:

This Saturday, November 22, 2008 is the final opportunity for firms to participate in production Amex Integration testing before the Amex listed securities are migrated to 11 Wall Street and integrated onto the NYSE trading Platform on December 1, 2008. Firms wishing to participate in the test must register by sending an email to relationshipmgt@nyx.com including the production customer lines and entering firm mnemonics that they plan to use for the day of the test and a contact person at your firm (including email address and phone number).

As previously announced in the September 9, 2008 Information Memo titled ‘NYSE/Amex Integration – Trading Systems Update', member firms were informed that Amex Equities will be migrated onto the NYSE Trading Platform in the December 1, 2008 time frame. In preparation for this integration, the NYSE will systemically (without any action required from member firms) make all current entering firm mnemonics eligible for order entry into both the NYSE and Amex symbols over their currently registered CMS or CCG lines. Firms wishing to enable their mnemonics for booth routing or local order entry at the booth should contact the NYSE Mnemonics Database Group at 212.656.5778 or at mnemonics@nyx.com.

NYSE/Amex Integration - Entering Firm Mnemonic Migration

NYSE Euronext completed its acquisition of the American Stock Exchange (Amex) on October 1, 2008. Post merger, the Amex SRO has been renamed NYSE Alternext US LLC and the equity business has been rebranded NYSE Alternext. We have received a number of questions regarding the NYSE Alternext equity trading business, and have compiled the most frequently asked questions in an FAQs. For additional questions regarding NYSE Alternext's equity business, please contact Oscar N. Onyema at OOnyema@nyx.com, 212-656-4555.

NYSE Alternext Equity Trading FAQs

As previously announced in the September 25, 2008 Information Memo titled ‘NYSE/Amex Integration – Industry Testing', member firms were informed of Saturday industry testing opportunities, the next of which is scheduled for Saturday, November 8, 2008. Member Firms wishing to participate in the test must register by sending an email to relationshipmgt@nyx.com including the production customer lines and entering firm mnemonics that they plan to use for the day of the test and a contact person at your firm (including email address and phone number). Those registered lines and mnemonics will be enabled to send order flow in both the NYSE and Alternext test symbols identified in the Information Memo. Market Data will be disseminated via the production CT/CQ multicast IP lines.

NYSE/Amex Integration - Industry Testing

As previously announced in the September 25, 2008 Information Memo titled ‘NYSE/Amex Integration – Industry Testing', member firms were informed of Saturday industry testing opportunities, the next of which is scheduled for Saturday, October 25, 2008. Member Firms wishing to participate in the test must register by sending an email to relationshipmgt@nyx.com including the customer lines and entering firm mnemonics plan to use for the day of the test and a contact person at your firm (including email address and phone number).

NYSE/Amex Integration - Industry Testing

As previously announced in the September 9, 2008 Information Memo titled ‘NYSE/Amex Integration – Trading Systems Update', member firms were informed that Amex Equities will be migrated onto the NYSE Trading Platform in the December 1, 2008 time frame. In preparation for this integration, the NYSE will support Member Firm testing on four Saturdays throughout October and November for firms to ensure their readiness. It is recommended that all Member Firms participate in the planned testing.

NYSE/Amex Integration – Industry Testing
NYSE/Amex Integration – Trading Systems Update
NYSE/Amex Integration – Post Trade Update

NYSE Euronext is moving the timing of the American Stock Exchange equities integration to early December from mid-September. In connection with this, we are cancelling the industry test that had been scheduled for Aug. 23. As a reminder, the equities integration will transition trading from Amex/AEMI systems to the NYSE Alternext brand, using NYSE systems.