New York Stock Exchange LLC

New York Stock Exchange LLC 11 Wall Street New York, NY 10115
Locations Update This Record Cases by Outcome Cases by Type	SEC CIK 1394564

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Document Type	Academic Paper Corporate Document - Internal Corporate Document - Public Court Document Equity Research Government Document - Federal Government Document - State Government Document - Local FBI File Public Records Request Response - FOIA Public Records Request Response - State Non-Profit Report Police Report White Paper
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	Date Filed	Venue	Case Number	Title	Party Type
	12/18/2014	New York Southern District Court	1:14-md-02589	In Re: Barclays Liquidity Cross and High Frequency Trading L...	Defendant
	5/30/2014	New York Southern District Court	1:14-cv-03865	Lanier v. Bats Exchange, Inc. et al	Defendant
	5/20/2014	New York Southern District Court	1:14-cv-03608	Harel Insurance Co, Ltd. v. Bats Global Markets, Inc. et al	Defendant
	5/2/2014	New York Southern District Court	1:14-cv-03133	American European Insurance Company v. Bats global markets, ...	Defendant
	4/18/2014	New York Southern District Court	1:14-cv-02811	City of Providence, Rhode Island v. Bats Global Markets, Inc...	Defendant
	1/27/2004	New York Southern District Court	1:04-cv-00625	Papyrus Technology Corporation v. New York Stock Exchange LL...	Defendant
	1/27/2004	New York Southern District Court	1:04-cv-00625	Papyrus Technology Corporation v. New York Stock Exchange LL...	Counter Claimant

7 Rows Total

Inside Counsel (0)

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Outside Counsel (14)

	Last Name	First Name	Middle Name	Firm	Location
	Bagley	Parker	Henry	Milbank, Tweed, Hadley & McCloy LLP	New York, NY
	Borden	George	Anthony	Williams & Connolly, LLP
	Chalsen	Christopher	C.	Milbank, Tweed, Hadley & McCloy LLP	New York, NY
	Costa	Doreen	L.		New York, NY
	Costa	Doreen	L.	com;doreen.costa Law Firm Placeholder	New York, NY
	Farina	Steven	M..	Williams & Connolly, LLP
	Gaspar	Christopher	James	Milbank, Tweed, Hadley & McCloy LLP	New York, NY
	Gonder	Jason	Michael	Haynes & Boone, LLP	San Jose, CA
	Holm	Chris	Lansing	Novak Druce, LLP	Los Angeles, CA
	KASS	LAWRENCE		Milbank, Tweed, Hadley & McCloy LLP	NEW YORK, NY
	Klaiber	James	R.	Hughes Hubbard & Reed LLP
	Kurzer	Michael	Daniel	Milbank, Tweed, Hadley & McCloy LLP	New York, NY
	Reese	Blake		Milbank, Tweed, Hadley & McCloy LLP	New York, NY
	Shalek	James	Holman	Proskauer Rose LLP	New York, NY

14 Rows Total

Filter By Form All Records 19B-4E From To

	Date	Entity	Form Number	Description
	9/17/2007		19B-4E
	9/17/2007		19B-4E
	9/17/2007		19B-4E
	9/17/2007		19B-4E
	9/17/2007		19B-4E
	9/17/2007		19B-4E
	8/6/2007		19B-4E
	7/31/2007		19B-4E
	6/7/2007		19B-4E
	5/14/2007		19B-4E
	5/14/2007		19B-4E
	5/2/2007		19B-4E
	4/23/2007		19B-4E
	3/13/2007		19B-4E
	3/13/2007		19B-4E
	3/13/2007		19B-4E
	3/13/2007		19B-4E
	3/13/2007		19B-4E
	3/13/2007		19B-4E
	3/13/2007		19B-4E
	3/13/2007		19B-4E
	3/13/2007		19B-4E
	3/5/2007		19B-4E
	2/23/2007		19B-4E
	2/23/2007		19B-4E
	2/23/2007		19B-4E
	2/23/2007		19B-4E
	2/23/2007		19B-4E
	2/23/2007		19B-4E
	2/23/2007		19B-4E
	2/23/2007		19B-4E
	2/23/2007		19B-4E
	2/23/2007		19B-4E
	2/23/2007		19B-4E
	2/23/2007		19B-4E

35 Rows Total

	Date Recorded	Party	Role	Document Type	Document No.	Invention Title
	1/28/2015	Nyse Merger Sub LLC	Assignor	Application Publication Patent	11183106 20060015443 7788161	System And Method For Managing An Imbalance In A Hybrid Auction Market System And Method For Managing An Imbalance In A Hybrid Auction Market System And Method For Managing An Imbalance In A Hybrid Auction Market
	1/20/2015	Nyse Merger Sub LLC	Assignor	Application Publication	12586913 20100023444	System and method for managing and trading auction limit orders in a hyb... System and method for managing and trading auction limit orders in a hyb...
	1/12/2015	Nyse Merger Sub LLC	Assignor	Application Publication	11182982 20060015441	System and method for managing and trading auction limit orders in a hyb... System and method for managing and trading auction limit orders in a hyb...
	1/12/2015	Nyse Merger Sub LLC	Assignor	Application Publication Patent	11182982 20060015441 10699336	System and method for managing and trading auction limit orders in a hyb... System and method for managing and trading auction limit orders in a hyb... System and method for managing and trading auction limit orders in a hyb...
	12/17/2014	Nyse Merger Sub LLC	Assignor	Application Application Application Application Application Application Publication Publication Publication Publication Publication Publication Patent Patent Patent Patent Patent Patent	11183285 11183155 11183043 11183259 11183123 11183279 20060015444 20060015447 20060015448 20060015445 20060015442 20060015446 7571135 7788162 8024247 7647267 7747509 7778916	System And Method For Setting And Using A Momentum Liquidity Replenishme... System And Method For Publishing Liquidity Replenishment Prices In A Hyb... System And Method For Presenting Broker And Specialist Interest In A Hyb... System And Method For Determining And Applying Parity In A Hybrid Auctio... System And Method For Order Sweep In A Hybrid Auction Market System And Method For Setting And Using A Sweep Liquidity Replenishment ... System And Method For Setting And Using A Momentum Liquidity Replenishme... System And Method For Publishing Liquidity Replenishment Prices In A Hyb... System And Method For Presenting Broker And Specialist Interest In A Hyb... System And Method For Determining And Applying Parity In A Hybrid Auctio... System And Method For Order Sweep In A Hybrid Auction Market System And Method For Setting And Using A Sweep Liquidity Replenishment ... System And Method For Setting And Using A Momentum Liquidity Replenishme... System And Method For Publishing Liquidity Replenishment Prices In A Hyb... System And Method For Presenting Broker And Specialist Interest In A Hyb... System And Method For Determining And Applying Parity In A Hybrid Auctio... System And Method For Order Sweep In A Hybrid Auction Market System And Method For Setting And Using A Sweep Liquidity Replenishment ...
	11/24/2014	Hlad, Robert B.	Assignor	Application Publication Patent	11399938 20060284893 9043719	System and method for managing and displaying securities market informat... System and method for managing and displaying securities market informat... System and method for managing and displaying securities market informat...
	11/24/2014	Schafer, Valerie J.	Assignor	Application Publication Patent	11399938 20060284893 9043719	System and method for managing and displaying securities market informat... System and method for managing and displaying securities market informat... System and method for managing and displaying securities market informat...
	11/24/2014	Bautista-rozenberg, Cynthia T.	Assignor	Application Publication Patent	11399938 20060284893 9043719	System and method for managing and displaying securities market informat... System and method for managing and displaying securities market informat... System and method for managing and displaying securities market informat...
	11/24/2014	Tannen, Robert S.	Assignor	Application Publication Patent	11399938 20060284893 9043719	System and method for managing and displaying securities market informat... System and method for managing and displaying securities market informat... System and method for managing and displaying securities market informat...
	11/24/2014	Springer, Nicholas L.	Assignor	Application Publication Patent	11399938 20060284893 9043719	System and method for managing and displaying securities market informat... System and method for managing and displaying securities market informat... System and method for managing and displaying securities market informat...
	11/7/2014	Nyse Merger Sub LLC	Assignor	Application Application Publication Publication Patent Patent	11399938 09901553 20060284893 20020046152 9043719 7249091	Method And System For Credit Authorization In A Member Exchange System and method for managing and displaying securities market informat... Method And System For Credit Authorization In A Member Exchange System and method for managing and displaying securities market informat... Method And System For Credit Authorization In A Member Exchange System and method for managing and displaying securities market informat...
	10/7/2014	Nyse Merger Sub LLC	Assignor	Application Application Publication Publication Patent Patent	11399938 09901553 20060284893 20020046152 9043719 7249091	Method And System For Credit Authorization In A Member Exchange System and method for managing and displaying securities market informat... Method And System For Credit Authorization In A Member Exchange System and method for managing and displaying securities market informat... Method And System For Credit Authorization In A Member Exchange System and method for managing and displaying securities market informat...
	10/1/2014	New York Block Exchange Llc (nybx Llc)	Assignor	Application Application Publication Publication Patent Patent	13539985 12258376 20120271752 20090210337 8510211 8271375	System And Method For Integrating A Dark Trading Facility And A Securiti... System and Method for Integrating a Dark Trading Facility and a Securiti... System And Method For Integrating A Dark Trading Facility And A Securiti... System And Method For Integrating A Dark Trading Facility And A Securiti... System And Method For Integrating A Dark Trading Facility And A Securiti... System and Method for Integrating a Dark Trading Facility and a Securiti...
	1/9/2009	Nyse Merger Sub LLC	Assignor	Application Application Application Application Application Application Application Publication Patent Patent Patent Patent Patent Patent Patent	29190033 29190056 29190064 09774768 29117822 29190063 29117821 20020133449 D528551 D481041 D501012 D493804 D506473 D496942 8266040	Virtual Trading Floor With A Computer Display Trading Post On A Portion Of A Computer Display Virtual Trading Floor System And Method Trading Post On A Portion Of A Computer Display Trading Post On A Portion Of A Computer Display Trading Post On A Portion Of A Computer Display Trading Floor On A Portion Of A Computer Display Virtual Trading Floor System And Method Trading Floor On A Portion Of A Computer Display Trading Post On A Portion Of A Computer Display Virtual Trading Floor With A Computer Display Trading Floor On A Portion Of A Computer Display Virtual Trading Floor System And Method Trading Floor On A Portion Of A Computer Display Trading Post On A Portion Of A Computer Display
	1/9/2009	Nyse Group, Inc.	Assignee	Application Application Application Application Application Application Application Publication Patent Patent Patent Patent Patent Patent Patent	29190064 09774768 29117822 29190063 29117821 29190033 29190056 20020133449 D501012 D493804 D506473 D496942 D528551 D481041 8266040	Virtual Trading Floor With A Computer Display Trading Floor On A Portion Of A Computer Display Virtual Trading Floor System And Method Trading Floor On A Portion Of A Computer Display Trading Post On A Portion Of A Computer Display Virtual Trading Floor With A Computer Display Trading Post On A Portion Of A Computer Display Virtual Trading Floor System And Method Trading Post On A Portion Of A Computer Display Trading Post On A Portion Of A Computer Display Trading Post On A Portion Of A Computer Display Trading Floor On A Portion Of A Computer Display Virtual Trading Floor System And Method Trading Floor On A Portion Of A Computer Display Trading Post On A Portion Of A Computer Display

15 Rows Total

	Date Recorded	Party	Role	Document Type	Document No.	Image
	9/10/2007	Nyse Group, Inc.	Assignee	Application	76572847
	9/10/2007	Nyse Group, Inc.	Assignee	Application	76569890
	9/10/2007	Nyse Group, Inc.	Assignee	Application	76450993
	9/10/2007	Nyse Group, Inc.	Assignee	Application	76222662
	9/10/2007	Nyse Group, Inc.	Assignee	Application	73050532
	9/10/2007	Nyse Group, Inc.	Assignee	Application	76472349
	9/10/2007	Nyse Group, Inc.	Assignee	Application	74802783
	9/10/2007	Nyse Group, Inc.	Assignee	Trademark	3482194
	9/10/2007	Nyse Group, Inc.	Assignee	Trademark	3535475
	9/10/2007	Nyse Group, Inc.	Assignee	Trademark	0
	9/10/2007	Nyse Group, Inc.	Assignee	Trademark	3690675
	9/10/2007	Nyse Group, Inc.	Assignee	Trademark	2774025
	9/10/2007	Nyse Group, Inc.	Assignee	Trademark	2641599
	9/10/2007	Nyse Group, Inc.	Assignee	Trademark	1148530
	9/10/2007	Nyse Group, Inc.	Assignee	Trademark	1695627
	9/10/2007	Nyse Group, Inc.	Assignee	Trademark	2904258
	9/10/2007	Nyse Group, Inc.	Assignee	Trademark	924870
	9/10/2007	Nyse Group, Inc.	Assignee	Trademark	2665267
	9/10/2007	Nyse Group, Inc.	Assignee	Trademark	2773388
	9/10/2007	Nyse Group, Inc.	Assignee	Trademark	2497187
	9/10/2007	Nyse Group, Inc.	Assignee	Trademark	2422931
	9/10/2007	Nyse Group, Inc.	Assignee	Trademark	1556093
	9/10/2007	Nyse Group, Inc.	Assignee	Trademark	2731616
	9/10/2007	Nyse Group, Inc.	Assignee	Trademark	2764038
	9/10/2007	Nyse Group, Inc.	Assignee	Trademark	2975159
	9/10/2007	Nyse Group, Inc.	Assignee	Trademark	2440988
	9/10/2007	Nyse Group, Inc.	Assignee	Trademark	2876056
	9/10/2007	Nyse Group, Inc.	Assignee	Trademark	2617092
	9/10/2007	Nyse Group, Inc.	Assignee	Trademark	2741129
	9/10/2007	Nyse Group, Inc.	Assignee	Trademark	3030780

380 Rows Total	Page 8 of 8 | Go To

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