About the NYSE MKT Rules

Covers the Rules, Governing Documents, and Company Guide of NYSE MKT.

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Office Rules

  Rule 431 - Exchange Back-up Systems and Mandatory Testing

Equities Rules

  Rule 0 - Applicability and Phase In
  Rule 13 - Orders and Modifiers
  Rule 15 - Pre-Opening Indications and Opening Order Imbalance Information
  Rule 49 - Emergency Powers
  Rule 49 - Exchange Business Continuity and Disaster Recovery Plans and Mandatory Testing
  Rule 51 - Hours for Business
  Rule 67 - Tick Size Pilot Plan
  Rule 80C - Limit Up—Limit Down Plan and Trading Pauses in Individual Securities Due to Extraordinary Market Volatility
  Rule 104 - Dealings and Responsibilities of DMMs
  Rule 107B - Supplemental Liquidity Providers
  Rule 107C - Retail Liquidity Program
  Rule 123C - The Closing Procedures
  Rule 123D - Openings and Halts in Trading
  Rule 1000 - Automatic Executions
  Rule 1004 - Election of Buy Minus and Sell Plus
  Rule 2090 - Know Your Customer
  Rule 2111 - Suitability
  Rule 3170 - Tape Recording of Registered Persons by Certain Firms
  Rule 5210 - Publication of Transactions and Quotations

Trading of Option Contracts

  Rule 903 Series of Options Open for Trading
  Rule 904 Position Limits
  Rule 900.2NY Definitions
  Rule 930NY Floor Broker Defined
  Rule 952NY Rules Principally Applicable to Trading of Option Contracts
  Rule 960NY Trading Differentials
  Rule 967.1NY Price Protection - Quotes
  Rule 971.1NY Electronic Cross Transactions
  Rule 975NY Nullification and Adjustment of Options Transactions including Obvious Errors
  Rule 980NY Electronic Complex Order Trading

NYSE MKT LLC Company Guide

  Section 146 - Products and Services Available to Issuers
  Section 401 - Outline of Exchange Disclosure Policies
  Section 402 - Explanation of Exchange Disclosure Policies
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