NYSE Arca maintains a body of rules to regulate its member organizations and their associated persons. At the core of the NYSE Arca Rulebook are the underlying notions of just and equitable principles of trade and sound business practices. The rules are designed to prevent fraudulent or manipulative acts and practices, and provide a means by which FINRA, on behalf of NYSE Regulation, can take appropriate disciplinary action against its membership when rule violations occur. As a registered securities exchange, NYSE Arca is subject to the regulatory oversight of the SEC.
Accordingly, all rules and rule amendments proposed by NYSE Arca must be submitted to the SEC for approval.
Access the rules and bylaws of NYSE Arca equities and options exchange.
Text to all outstanding proposed rule changes, called 19b−4 filings, filed by NYSE Arca with the U.S. Securities and Exchanges Commission (SEC). 19b−4 filings relate to proposed changes to the NYSE Rules and federal securities laws.
NYSE Arca Regulatory Bulletins include Rule Adoption Notices, Regulatory Bulletins: Equities, and Regulatory Bulletins: Options.
Find the latest changes to NYSE Arca Rules.