Rules and Interpretations
Each marketplace maintains a body of rules to regulate its member organizations and their associated persons. At the core of each 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 action when rule violations occur.
Each marketplace is subject to SEC regulatory oversight. Accordingly, all rules and rule amendments proposed the individual markets must be submitted to the SEC for approval.
NYSE MKT, of which NYSE Amex Options is a part, is recognized by the U.S. Securities and Exchange Commission as a self-regulatory organization. NYSE Amex Options has its own set of rules and guidance.
The all-electronic NYSE Arca is recognized by the U.S. Securities and Exchange Commission as a self-regulatory organization with its own set of rules and guidance.
NYSE MKT Rule Filings
This section contains the text to outstanding proposed rule changes, called 19b−4 filings, filed by NYSE MKT with the U.S. Securities and Exchanges Commission (SEC). 19b−4 filings relate to proposed changes to the NYSE MKT Rules and federal securities laws.