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This document is a notice regarding a proposed rule change by NYSE MKT LLC concerning temporary suspensions of rules affecting the use of personal portable phones by Floor brokers on the Trading Floor

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How to fill out Notice of Filing and Immediate Effectiveness of Proposed Rule Change

01

Obtain the Notice of Filing and Immediate Effectiveness of Proposed Rule Change form from the relevant regulatory authority's website.

02

Fill in the name of the filing entity at the top of the form.

03

Provide a clear and concise description of the proposed rule change.

04

Specify the reason for the proposed rule change and any anticipated benefits.

05

Indicate the effective date of the rule change, usually within 30 days after filing.

06

Include any required supporting documents or evidence that substantiate the proposed change.

07

Review the completed form for accuracy and completeness before submission.

08

Submit the form electronically or via mail, as required by the regulatory authority.

Who needs Notice of Filing and Immediate Effectiveness of Proposed Rule Change?

01

Entities such as exchanges, self-regulatory organizations (SROs), or any organization proposing a rule change that requires immediate effectiveness.

02

Legal and compliance teams within these organizations who are responsible for regulatory submissions.

03

Stakeholders or individuals impacted by proposed rule changes who may need to review or respond.

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What is Notice of Filing and Immediate Effectiveness of Proposed Rule Change?

The Notice of Filing and Immediate Effectiveness of Proposed Rule Change is a formal document submitted to the relevant regulatory body, such as the SEC, by an exchange or self-regulatory organization. It outlines proposed changes to existing rules and seeks to establish those changes as immediately effective, rather than going through a prolonged approval process.

Who is required to file Notice of Filing and Immediate Effectiveness of Proposed Rule Change?

Exchanges and self-regulatory organizations (SROs) that propose changes to their rules are required to file a Notice of Filing and Immediate Effectiveness of Proposed Rule Change. This is typically mandatory for any rule changes that impact member firms or the trading environment.

How to fill out Notice of Filing and Immediate Effectiveness of Proposed Rule Change?

To fill out the Notice of Filing and Immediate Effectiveness of Proposed Rule Change, organizations must provide detailed information including the text of the proposed rule change, a description of its purpose, an explanation of how it complies with applicable regulations, and any supporting data or analysis that justifies the need for the change.

What is the purpose of Notice of Filing and Immediate Effectiveness of Proposed Rule Change?

The purpose of the Notice of Filing and Immediate Effectiveness of Proposed Rule Change is to inform the regulatory authority and the public of proposed changes to rules, and to allow those changes to take effect immediately if deemed appropriate. This process ensures transparency and regulatory oversight of market practices.

What information must be reported on Notice of Filing and Immediate Effectiveness of Proposed Rule Change?

The information that must be reported includes the text of the proposed rule changes, an analysis of the change's impact, the rationale for the change, any relevant data supporting the change, and a discussion of how the changes are consistent with the governing statutes and regulations.

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