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

The NYSE Amex is currently trading 322 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 October 17, 2011.

NASDAQ-listed UTP Symbols

USB PRA has been halted from trading since June 18, 2010. After extensive consultation with the related regulatory authorities, the trades executed on June 16, June 17, and June 18 will stand.

Trading in this security will re-open on Wednesday, July 28, 2010.

NYSE Trader Update - July 27, 2010

The NYSE imposed a trading halt on June 18, 2010, in US Bancorp's Depositary Shares (NYSE: USB PRA), based on information indicating that the prices at which the shares were trading were not reasonably related to the market value of such shares and following information that the allocation of shares associated with an exchange offer for USB PRA had been adjusted. The NYSE is continuing to assess this matter in consultation with the issuer and other relevant parties.

NYSE to Suspend Trading in CIT Group Inc. and Related Securities Moves to Remove from the List

NEW YORK, November 2, 2009 – NYSE Regulation, Inc. (“NYSE Regulation”) announced today that it determined that the common stock of CIT Group Inc. (the “Company”) – ticker symbol CIT – as well as the 3 related listed securities below, should be suspended prior to the market opening on Tuesday, November 3, 2009.

Lloyds Banking Group PLC (LYG), amount of cash payment determined and EX date has been changed to June 24, 2009. For the full announcement please refer to the following Information Notice.

EX Information Memo

June 1, 2009 – Trading in General Motors corporation and related securities will open on the Stock Exchange following the normal indication process. See below for additional NYSE Regulation, Inc. Information.

NYSE Regulation, Inc. (“NYSE Regulation”) announced today that it determined that the common stock of General Motors Corporation (the “Company”) – ticker symbol GM – as well as the 10 related listed securities below, should be suspended prior to the opening on June 2, 2009.

The New York Stock Exchange (NYSE) announces that the common and related structured products of General Motors Corporation (ticker symbol GM) will be halted news dissemination during the pre-market and available to all markets for trading at 9:30am (EST) on the morning of Monday, June 1, 2009.

Beginning tomorrow, Friday, January 29, 2009, the following NYSE & NYSE Alternext US securities will be enabled to provide the new sub-penny reports for away market executions. As additional securities are enabled with this new feature this rollout list will be updated. Please check the NYSE Equities References Page to follow the updates.

For additional information about the features of the sub-penny reports for away markets see:
Update on Sub-penny reports for Away market executions

Effective for Trade Date January 22, 2009, the securities listed in the document provided below will be moved to different Liquidity Replenishment Points (LRPs) volume/price groups. This move is based on closing price and quarterly average daily volume calculations.

LRP Moves for 1st Qtr 09
LRP Effective Parameter Ranges & Buckets

Beginning on December 1, 2008, the New York Stock Exchange will accept and no longer reject orders priced less than $1 that are entered in sub-pennies for all securities listed on both the NYSE and NYSE Alternext. The Exchange will round limit orders to the nearest next whole penny, either down for buy orders or up for sell orders, to represent the order for execution or to transmit the bid or offer to the Consolidated Quote System using the rounded limit price. Please refer to the two attached links for additional technical details and for the SEC Rule filing.

Additionally, at a date to be announced shortly, the Exchange systems will also begin passing back reports to clients in sub-pennies, with a maximum of a four decimal place increment for executions that are received from away market centers.

NYSE Rule File # SR-NYSE-2008-123
NYSE Sub-Penny Order Technical Specifications

Effective Monday, November 17, 2008, the NYSE is eliminating the “Sub-penny Trading Halt Condition.” All securities currently subject to a sub-penny trading halt will resume trading on the NYSE. Orders routed to the NYSE in these securities will be executed on the NYSE (unless routed in compliance with Reg NMS), and all valid NYSE order types and times-in-force will again be accepted. Going forward, the NYSE will no longer halt trading and transfer securities to the NYSE Arca trading platform when they reach the $1.05 threshold.

The SEC's Emergency Order on Short Sales in securities of certain financial firms expires at 11:59 pm ET on Wednesday October 8, 2008. The SEC's Order lifting 10b-18 time and volume restrictions remains in effect until 11:59 pm ET on Friday, Octoer 17, 2008.
SEC Press Release & Amendments: http://www.sec.gov/news/press/2008/2008-235.htm

The SEC issued a Press Release last night announcing the extension of its Emergency Order temporarily prohibiting short selling beyond its currently scheduled expiration. The order will now expire at 11:59 p.m. ET on the third business day after enactment of the legislation, but in any case no later than 11:59 p.m. ET on Oct. 17, 2008.

The SEC also announced the extension of the expiration date of its Emergency Order easing 10b-18 time and volume restrictions to October 17, 2008.

SEC Press Release & Amendments: http://www.sec.gov/news/press/2008/2008-235.htm

Washington Mutual Inc., (WM), Washington Mutual Preferred K (WM PRK) & Washington Mutual Preferred R (WM PRR) have been subject to a Regulatory Halt since last last Friday, 26, September 08. The company will be delisted from the NYSE today and will be available to trade in the Pink Sheets.

Orders entered in these securities may be canceled today. Any orders not canceled today will be deleted overnight and these symbols will no longer be available as of tomorrow, Tuesday, 30, September 08.

Important update regarding NYSE trading in Washington Mutual Inc. (WM) and Washington Mutual Preferred K (WM PRK) today, Friday, 26 September 08.
Consistent with Reg NMS, NYSE will open WM and WM PRK for a single transaction, then immediately place it in an Operational Trading Halt under the NYSE Sub-penny Pricing rule.
Firms should cancel any orders in WM and WM PRK that are not executed in the Opening transaction. After the close of business today, NYSE will cancel any unexecuted orders in WM and WM PRK.

Effective Thursday, September 25, 2008, the NYSE-listed issuers found below have been added to the list of financial firms that meet the SEC's revised criteria to the Order prohibiting short selling. An updated list of all NYSE-listed issuers covered under the Order is available here. For more information on the SEC Order, go to http://www.sec.gov/news/press/2008/2008-218.htm.

Effective Wednesday, September 24, 2008, the NYSE-listed issuers found below have been added to the list of financial firms that meet the SEC's revised criteria to the Order prohibiting short selling. A full updated list of covered securities is available here. For more information on the SEC Order, go to http://www.sec.gov/news/press/2008/2008-218.htm.

Effective Monday, September 22, 2008, 4:00pm, the NYSE-listed issuers found below have been added to the list of financial firms that meet the SEC's revised criteria to the Order prohibiting short selling. For more information on the SEC Order, go to: http://www.sec.gov/news/press/2008/2008-218.htm. Or click here for the current full list of NYSE-listed companies covered under the order.

(Updated with compiled list of NYSE-Listed Companies from 09/19/08 and today, 09/22/08) Please note that Credit Suisse Group has been added to the list, and that GLG Partners, Inc, listed in an earlier entry here as "LG", has been revised with its correct symbol, "GLG".

Please be advised that, effective immediately, the SEC has revised its temporary emergency action with respect to the Order prohibiting short selling in financial firms. As there are material differences in the application of the prohibition, you should read the new SEC order, which can be found at: http://www.sec.gov/news/press/2008/2008-218.htm.
SEC NYSE Short Sale Prohibiton List

Please be advised that today the SEC has revised its temporary emergency action with respect to the Order prohibiting short selling in financial firms. As there will likely be material differences in the application of the prohibition, you should read the new SEC order. The SEC has informed us that all companies that were covered by Friday's order will also be covered by the revised short sale prohibition. The SEC has also advised us that it expects to delegate to each national securities exchange the authority to identify additional listed companies that qualify for inclusion in the list of companies covered by the revised prohibition.

Effective immediately the SEC Emergency Order prohibits short sales for 799 securities noted in Appendix A of the linked SEC Order. Please note that the SEC exempted the following from the prohibition: “registered market makers, block positioners, or other market makers obligated to quote in the over-the-counter market, in each case that are selling short a publicly traded security of an Included Financial Firm as part of bona fide market making in such security.” Please refer to the Order for a full list of exemptions.

Please also note that NYSE systems will not block sell short orders. The SEC Order requires that firms be responsible for compliance with this Order.

SEC Release No. 34-58592

NYSE Regulation, Inc. (“NYSE Regulation”) announced today that it determined that the common stock of Lehman Brothers Holdings, Inc. (the “Company”) – ticker symbol LEH, as well as the 13 related NYSE and NYSE Arca listed securities listed in the Regulation Announcement in the link provided below, should be suspended immediately.

NYSE Regulation Announcement

The NYSE has lifted the news dissemination halt on Lehman Brothers allowing other markets, including NYSE Arca, to trade the security. Lehman will not open or trade on the NYSE.

The decision to lift the news dissemination halt was based on Lehman’s press release issued last night outlining Barclays agreement to acquire Lehman Brothers' North American investment banking and capital markets operations.

As previously reported, Standard & Poor’s has removed Lehman from their indices. For additional detail on the removal of Lehman from the S&P please go to the S&P website.

S&P recognizes that there was a trading halt today in Lehman Brothers and will be posting on their website tonight, at 5:15pm, instructions regarding Lehman Brothers and the S&P Index.

Lehman Brothers is scheduled to come out of the S& P Index this evening however the stock has been placed on a news dissemination halt. We are currently investigating with the S& P how it will be handled.

LEH Preferreds will trade on the NYSE at the opening. LEH Preferreds trading under $1.05 at the opening will follow sub-penny rules thereafter. NYSE will be sending indications on these securities.

Consistent with the guidelines under the NYSE Sub-penny Trading Rule, Lehman Brothers Inc. (LEH) will not trade on the NYSE today. Trading will take place in Arca today. NYSE orders in the common will begin routing to NYSE Arca with NYSE Arca pricing applied Tuesday 9/16/08. Please be advised that LEH continues to be listed on the New York Stock Exchange. Please also be advised that LEH preferreds continue to be listed and traded on the New York Stock Exchange.

In order to allow customers to cancel existing orders in the NYSE's system, LEH will remain active until close of business today at which time the NYSE will cancel any remaining orders in this symbol. Starting tomorrow all orders in this symbol will be routed to NYSE Arca with NYSE Arca pricing applied.

The New York Stock Exchange (NYSE) has announced the following in connection with today's market news and conditions with respect to Lehman Brothers. Lehman Brothers Holdings Inc. (“LBHI”) announced today that it intends to file a petition under Chapter 11 of the U.S. Bankruptcy Code with the United States Bankruptcy Court for the Southern District of New York. None of the broker-dealer subsidiaries or other subsidiaries of LBHI will be included in the Chapter 11 filing and all of the broker-dealers will continue to operate.
Lehman Brothers continues to be a member firm and a listed company of the New York Stock Exchange until further notice.

Trading of Lehman Brothers Stock
The stock of Lehman Brothers Holdings (LEH) is being traded today on NYSE Arca as of 4:00 a.m.

Lehman Specialist Unit
Effective immediately, Goldman Sachs will be assuming responsibility for NYSE-listed securities in which Lehman Brothers MarketMakers, a division of Lehman Brothers, has served as the specialist. Lehman specialist staff and technology will remain in place, and Goldman Sachs will oversee staff, trading and risk management.
Goldman Sachs will also be responsible for clearing activity of the Lehman specialist unit in these securities going forward.
This arrangement will remain in place until a more permanent alternative can be arranged. We will keep you apprised of further developments as we work to ensure a smooth transition as well as fair and orderly markets in all NYSE-listed securities.

Additional
NYSE Rule 48 is in effect today: pre-opening indications are not required.

Effective immediately, consistent with the guidelines under the NYSE Sub-penny Trading Rule, orders in Fannie Mae (FNM) and Freddie Mac (FRE) common will be routed to NYSE Arca with NYSE Arca pricing applied. Please be advised that both FNM and FRE continue to be listed on the New York Stock Exchange. Please also be advised that the FNM and FRE preferreds continue to be listed and traded on the New York Stock Exchange.

To maximize customer's execution and order routing flexibility for tomorrow, we are cancelling all GTC orders in FNM and FRE. Please expect an announcement from the NYSE in the morning with regard to how these issues will be handled for trading on September 11, 2008.

The NYSE continues to actively monitor trading in FNM and FRE and their related securities. These issues will continue to be listed, traded, and quoted on the NYSE as the primary market on Wednesday, 10 September 2008.

We will issue a separate notice regarding trading on Thursday, 11 September 2008, after Wednesday's close.

The NYSE continues to actively monitor trading in FNM and FRE and their related securities. These issues will continue to be listed, traded, and quoted on the NYSE as the primary market on Tuesday, 09 September 2008.

We will issue a separate notice regarding trading in these securities on Wednesday, 10 September 2008, after Tuesday's close.

New York, Sept. 8, 2008 - The New York Stock Exchange (NYSE) announced that the common and related preferred stock of Fannie Mae (ticker symbol FNM) and Freddie Mac (ticker symbol FRE) will be halted news dissemination during the pre-market and available to all markets for trading at 9:30am (EST) on the morning of Monday, Sept. 8, 2008 due to U.S. federal regulators action related to Fannie Mae and Freddie Mac. (Full list of securities affected by the halt are listed at the end of this posting).

The SEC has extended it's emergency Order to enhance investor protections against "naked" short selling through EDT August 12th. The Order targeted 19 securities in a July 15th amendment that has been in effect since Monday, July 21 and had been scheduled to terminate at 11:59 EDT on Tuesday, July 29, 2008. The SEC has announced that the Order will not be extended beyond the new August 12th expiration date.

The NYSE anticipates limited trading in UBS AG Rights (Expiring June 10, 2008) Symbol: UBS RT - today, Monday, June 9, 2008, trading as Cash Only. There will be four auctions: the first at approximately 10 am ET, followed by auctions at approximately noon ET and 2 pm ET, and a final transaction at approximately 4 pm ET. Update messages (online at traderupdates.nyse.com and via NYSE System Status) will confirm these times, and these transactions will follow routine price indication procedures and indication time intervals.

Beginning on Friday, May 9, 2008 the New York Stock Exchange will extend the DOT Reserve Order type from the current 100 pilot securities to all NYSE Listed Securities. Requiring a minimum posting of 100 shares and offering the ability to enter flexible replenishment amounts, the new DOT Reserve order will give clients additional flexibility in managing their NYSE systemic order flow and accessing the Exchange's unparalleled liquidity pool. The planned floor wide expansion will allow this useful order flow management tool to now be used for all NYSE Listed names.

The New York Stock Exchange is moving forward with Phase 1 of the DOT Reserve Pilot. Beginning Wednesday, April 23, 2008 the Exchange will begin accepting DOT Reserve orders in the 100 pilot securities. Requiring a minimum posting of 100 shares and offering the ability to enter flexible replenishment amounts, the new DOT Reserve order will give clients additional flexibility in managing their NYSE systemic order flow and accessing the Exchange's unparalleled liquidity pool.

The links below point to the technical specification document, Information Memo and the Rule filing.

Full Technical Specification
NYSE Regulation Information Memo
Rule Filing SR-NYSE-2008-30

Last week the NYSE distributed a link to the technical specification for the upcoming electronic reserve order type. At that time we acknowledged distribution of additional information regarding the reserve order type and the 100 stocks included in the initial pilot.

Beginning on January 25, 2008 the NYSE will convert Berkshire Hathaway Inc. (BRK A) to a one (1) share Unit of Trade (UOT) from a ten (10) share UOT. For details of the change and its impact please review the changes to current Unit of Trade (UOT) for Berkshire Hathaway Inc. (BRK A).
Floor Operations Information Memo

One of the companies on the NYSE Pilot Stock list, Novelis (NVL), was acquired by another company, and was delisted a few weeks ago. After conferring with the SEC , in the interest of minimizing change at this late date, we have eliminated NVL from the list without adding a new stock to the list.
List of Reg NMS Pilot Phase NYSE Stocks

This document provides details regarding the changes associated with the Exchange's decision to quote and trade in penny increments only, and the adoption of a non-regulatory trading halt procedure in order to remain compliant with Regulation NMS in securities that are priced below $1.00 per share. The Exchange has implementing an approach to avoid any trading in a security at the Exchange when its price falls below $1.00 per share, while still permitting the security to remain listed so it can continue to be traded by other markets, including NYSE Arca, on an unlisted trading privileges (“UTP”) basis.
Floor Operations Information Memo
Final List of Subpenny Trading Halt