About the NYSE MKT Rules

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

What's New


Office Rules

  Rule 431 - Exchange Backup Systems and Mandatory Testing

Equities Rules

  Rule 0 - Applicability and Phase-In
  Rule 19 - Locking or Crossing Protected Quotations in NMS Stocks
  Rule 46 - Floor Officials—Appointment
  Rule 46A - Executive Floor Governors
  Rule 72 - Priority of Bids and Offers and Allocation of Executions
  Rule 103B - Security Allocation and Reallocation
  Rule 104 - Dealings and Responsibilities of DMMs
  Rule 107B - Supplemental Liquidity Providers
  Rule 107C - Retail Liquidity Program
  Rule 128D - Openings and Halts in Trading
  Rule 497 - Additional Requirements for Listed Securities Issued by ICE or its Affiliates
  Rule 500 - Applicability
  Rule 1000 - Automatic Execution of Limit Orders Against Orders Reflected in Exchange Published Quotation

Trading of Option Contracts

  Rule 960 General Comparison and Clearance Rule
  Rule 961 Give Up of a Clearing Member
  Rule 900.3NY Orders Defined
  Rule 933NY Responsibilities of Floor Brokers
  Rule 936NY Discretionary Transaction
  Rule 953.1NY Limit-Up and Limit-Down During Extraordinary Market Volatility
  Rule 954NY Order Identification
  Rule 975NY Nullification and Adjustment of Options Transactions including Obvious Errors
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