Issuer Oversight

Learn how NYSE Regulation monitors companies listed on NYSE MKT.

Public Information

Information of interest to securities industry professionals and the investing public.

Rules and Interpretations

NYSE MKT maintains a body of rules to regulate its members and member organizations and their associated persons.

Noncompliant Issuers

See a list of issuers that are noncompliant with NYSE MKT continued listing standards.

Removals From Listings

Each trading day, the NYSE MKT publishes two lists of issues pending delisting from the Exchange.

Disciplinary Actions

Information on the investigation and prosecution of violations of NYSE MKT Rules and applicable federal laws or regulations.

Financial Regulation

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.