NYSE Informed Investor
Before you decide to invest in Exchange Traded Funds (“ETFs”), there are some basic questions you should consider in order to make an informed investment decision.
NYSE Arca
Since June 2010, the Financial Industry Regulatory Authority (FINRA) performs the market surveillance, enforcement, and financial and operational compliance functions formerly conducted by NYSE Regulation.
NYSE Arca Rules and Interpretations
NYSE Arca maintains a set of rules to regulate its member organizations and their associated persons.
Issuer Compliance
Listing Standards
Eligibility requirements allow smaller companies and exchange traded funds to gain visibility and access.
Blue Sky Exemptions
Tier I listings are afforded Blue Sky exemption from state securities laws in all 50 states.
Noncompliant Issuers
NYSE Regulation publishes a list of issuers that are noncompliant with NYSE Arca listing standards.
Disciplinary Action
On behalf of NYSE Regulation, FINRA enforces rules and federal securities laws, and if necessary brings disciplinary action against NYSE Arca member organizations, as well as current and former employees of those organizations.
Financial and Operational Compliance
All NYSE MKT and NYSE Arca DEA broker-dealers may direct questions regarding FOCUS reports, financial disclosure filings, broker-dealer examinations and rule-related questions to their FINRA Finance Coordinator.