Listing App Checklist

  • Signed draft of Listing Application
  • Signed Statement of Understanding Form – choose how you’d like to pick your DMM
  • Response to Clearance Letter – affirm that you intend to meet listing guidelines
  • Listing Agreement – agree to meet requirements to be an NYSE-listed company
  • Section 315 Letter – affirmation that no insider has a financial-related felony conviction
  • Signed letter from Underwriters – affirmation from underwriters of basic listing standards
  • Signed draft of form 8-A
  • Charter, Bylaws & Resolutions (can be in draft form)

Upon clearance for listing, the issuer must submit the following additional information:

For Initial Public Offerings (IPO) For Non-Initial Public Offerings (Non-IPOs)
Executed listing agreement Latest Form 10-K and 10-Q
Opinion of counsel* Opinion of counsel*
Undertaking with respect to distribution standards Board Resolutions approving listing
Board Resolutions approving listing Articles of Incorporation & Bylaws
Articles of Incorporation & Bylaws Registrar/transfer agent agreement
Registrar/transfer agent agreement Registrar/transfer agent agreement
Specimen stock certificate Specimen stock certificate
Balance of listing fee 1934 Act Registration statement
1934 Act Registration statement Initial Written Affirmation
Initial Written Affirmation CUSIP Representation
CUSIP Representation Other information as NYSE Regulation may require
Other information as NYSE Regulation may require  

Please note: The opinion of counsel is a representation from the issuer that it complies with certain corporate governance listing requirements.  For more information, please contact NYSE Capital Markets Team.

Symbol Reservation
As early as possible, the issuer should submit to NYSE staff a list of its first three choices for a ticker symbol.  NYSE will endeavor to reserve a symbol for the issuer in order of preference, although there is no guarantee that any of the issuer’s choices will be available.  For more information, please contact your Capital Markets Team.

Registration and Listing
The issuer must register with the Securities and Exchange Commission (SEC) under Section 12(b) of the Securities Exchange Act of 1934 before being admitted to trading on NYSE as a listed security. Upon approval, and following receipt of all completed documentation, NYSE will certify its approval of the listing with the SEC. Trading can commence upon effectiveness of the issuer’s Securities Exchange Act of 1934 registration statement.

Additional Required Information (IPOs only)
For IPOs only, after trading has started NYSE requires companies to submit a distribution schedule, signed by an executive officer, which provides certain information regarding the companies shares.  For exclusive listings, the issuer must submit this schedule within 90 days of the closing of the IPO.

Ticker Symbols
Issuers can use one to four characters to create ticker symbols.

In May, 2009, some NYSE Listed Companies began adopting four-character ticker symbols. In the near future other NYSE and NYSE MKT Companies may adopt five-character symbols. As previously announced, the NYSE will provide Member Firms and Vendors with the opportunity to test order flow in four and five character symbols (including various suffix combinations). 
In order to accommodate testing the Exchange has established a User Acceptance Test for firms to test using specific four- and five-character test symbols created by the Exchange. Firms wishing to test should send a email message to firmtesting@nyx.com

Details and updates about testing and the admission of four and five character symbols to the NYSE, NYSE MKT and NYSE Arca are included on the Intermarket Symbol Reservation page.