NYSE Rules and Interpretations
The NYSE maintains a body of rules to regulate its member organizations and their associated persons. At the core of the NYSE Rulebook are the underlying notions of just and equitable principles of trade and sound business practices. The rules are designed to prevent fraudulent or manipulative acts and practices, and provide a means by which FINRA, on behalf of NYSE Regulation, can take appropriate disciplinary actions against its membership when rule violations occur. As a registered securities exchange, the NYSE is subject to the regulatory oversight of the SEC.
Accordingly, all rules and rule amendments proposed by the NYSE must be submitted to the SEC for approval.
NYSE Rule Filings
This section contains the text to all outstanding proposed rule changes, called 19b−4 filings, filed by the NYSE with the SEC. 19b-4 filings relate to proposed changes to the NYSE Rules and federal securities laws.
Information Memos
Information Memos are addressed to all members and member organizations and typically publish interpretations of NYSE rules and descriptions of NYSE and SEC rules and policies.
Member Education Bulletins
Member Education Bulletins are addressed to floor members only and provide updates to NYSE Rules and policies related to floor trading activity. Member Education Bulletins are also used as reminder notices.