NYSE Arca Rules and Interpretations
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.
NYSE Arca Rules
Access NYSE Arca rules and bylaws via the links below.
NYSE Arca Rules, Bylaws & Certificates of Incorporation
- NYSE Arca Options Rules, Bylaws and Certificate of Incorporation
- NYSE Arca Equities Rules, Bylaws and Certificate of Incorporation
Archipelago Holdings Bylaws (pdf)
Archipelago Holdings Certificate of Incorporation (pdf)
NYSE Arca Holdings Bylaws (pdf)
NYSE Arca Holdings Certificate of Incorporation (pdf)
NYSE Arca Regulatory Bulletins and Filings
- What's New in NYSE Arca Rules
- Regulatory Bulletins
- Rule Adoption Notices
- Selected Statutes
NYSE Arca Rule Filings
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.
Regulatory Bulletins
NYSE Arca Regulatory Bulletins include Rule Adoption Notices, Regulatory Bulletins: Equities, and Regulatory Bulletins: Options.