Issuer Oversight

Eligibility requirements allow smaller companies and exchange traded funds to gain visibility and access.

Disciplinary Action

On behalf of NYSE Regulation, FINRA enforces rules and federal securities laws, and if necessary brings disciplinary action against NYSE Arca member organizations, as well as current and former employees of those organizations.

Noncompliant Issuers

NYSE Regulation publishes a list of issuers that are noncompliant with NYSE Arca listing standards.

Removals From Listings

Each trading day, NYSE Arca publishes two lists of issues pending delisting.

Rules and Interpretations

NYSE Arca maintains a set of rules to regulate its member organizations and their associated persons.

Public Information

Regulatory bulletins, Regulation SHO, and other pertinent information.

Financial and Operational Compliance

All NYSE MKT and NYSE Arca DEA broker-dealers may direct questions regarding FOCUS reports, financial disclosure filings, broker-dealer examinations and rule-related questions to their FINRA Finance Coordinator.