Rule Filings

As registered securities exchanges subject to SEC regulatory oversight, the NYSE and NYSE MKT must maintain a body of rules to regulate its member organizations and their associated persons. Similarly, the all-electronic NYSE Arca is recognized by the U.S. Securities and Exchange Commission as a self-regulatory organization that must maintain its own set of rules and guidance.

At the core of the NYSE Rulebook, the NYSE MKT Rulebook, and the NYSE Arca 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 the NYSE, NYSE MKT, and NYSE Arca, can take appropriate disciplinary action when rule violations occur. All rules and rule amendments proposed by the NYSE and NYSE MKT must be submitted to the SEC for approval. Recent rule filings for NYSE, NYSE MKT, and NYSE Arca can be found below.