When a customer chooses to move their account or a portion of their assets from one NYSE member organization to another, the process should be simple and expeditious.
Learn how NYSE Regulation monitors companies listed on NYSE MKT.
Information of interest to securities industry professionals and the investing public.
NYSE MKT maintains a body of rules to regulate its members and member organizations and their associated persons.
Information on the investigation and prosecution of violations of NYSE MKT Rules and applicable federal laws or regulations.
All NYSE MKT DEA broker-dealers may direct questions regarding FOCUS reports, financial disclosure filings, broker-dealer examinations, and NYSE MKT rule-related questions to their FINRA Finance Coordinator.