NYSE MKT

About the NYSE MKT Rules

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

What's New

Rules

Equities Rules

  Rule 14 - Non-Regular Way Settlement Instructions for Orders
  Rule 14T - Non-Regular Way Settlement Instructions for Orders
  Rule 64 - Bonds, Rights and 100-Share-Unit Stocks
  Rule 64T - Bonds, Rights and 100-Share-Unit Stocks
  Rule 67 - Tick Size Pilot Plan
  Rule 235 - Ex-Dividend, Ex-Rights
  Rule 235T - Ex-Dividend, Ex-Rights
  Rule 236 - Ex-Warrants
  Rule 236T - Ex-Warrants
  Rule 257 - Deliveries After `Ex' Date
  Rule 257T - Deliveries After `Ex' Date
  Rule 282 - Buy-in Procedures

Office Rules

  Rule 340 - Disapproval of Employees
  Rule 341 - Approval of Registered Employees and Officers
  Rule 359 - Application and Termination Forms (Forms U-4 and U-5)

NYSE MKT LLC Company Guide

  Section 510 - Three Day Delivery Plan
  Section 510T - Two Day Delivery Plan
  Section 512 - Ex-Dividend Procedure
  Section 512T - Ex-Dividend Procedure
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