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