NYSE Rules

As a registered securities exchange, the NYSE is subject to the regulatory oversight of the SEC. Accordingly, all rules and rule amendments proposed by NYSE must be submitted to the SEC via what is known as a 19b-4 filing. A 19b-4 filing contains the proposed rule text, its intended purpose, and its statutory basis.

Once a proposed rule change is filed with the SEC, the substance of the change is published in the U.S. Federal Register, for a prescribed period of time, giving interested parties the opportunity to comment on it. Comment letters are forwarded to NYSE for response. If necessary, and when appropriate, NYSE will amend the original filing in response to comment letters and resubmit the amended filing to the SEC.

Ultimately, when the SEC approves a proposed rule change, it will issue an “Approval Order” for publication in the Federal Register. Shortly thereafter, NYSE will typically issue a corresponding Information Memo, alerting membership to the rule change, its history, and its effective date.

All New York Stock Exchange Rules

Latest changes to NYSE Rules

The NYSE's Rules are available for purchase in paperback through Wolters Kluwer Financial Services at (800) 248-3248.

The rules are also included in the New York Stock Exchange Guide. Included in the Guide are the Exchange's directory of members, member organizations, branch offices and listed securities, the NYSE Rules, and related federal laws and regulations. The Guide is available as a three-volume looseleaf set or in CD-ROM. For copies of the guide, contact:

Three-volume
loose-leaf set
CCH Wall Street
Wolters Kluwer Financial Services
4025 West Peterson Avenue
Chicago, Illinois 60646
(773) 866-6000
CD-ROM CCH Wall Street
Wolters Kluwer Financial Services
4025 West Peterson Avenue
Chicago, Illinois 60646
(800) 449-6435

Related Information
Securities Exchange Act of 1934
Third Amended and Restated Limited Liability Company Agreement of NYSE Euronext Holdings LLC
Fifth Amended and Restated Operating Agreement of New York Stock Exchange LLC
Third Amended and Restated Certificate of Incorporation of NYSE Group
Second Amended and Restated Bylaws of NYSE Group
Second Amended and Restated Certificate of Incorporation of NYSE Market (DE), Inc.
Third Amended and Restated Bylaws of NYSE Market (DE), Inc.
Independence Policy of New York Stock Exchange LLC
Independence Policy of NYSE Market (DE), Inc.