Moving Financial Assets
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.
NYSE MKT
NYSE MKT
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.
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.