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)

Trading of Option Contracts

  Rule 900.2NY Definitions
  Rule 925.1NY Market Maker Quotes
  Rule 971.1NY Electronic Cross Transactions
  Rule 975NY Nullification and Adjustment of Options Transactions including Obvious Errors
  Rule 985NY Qualified Contingent Cross Trade
  Rule 994NY Broadcast Order Liquidity Delivery Mechanism

NYSE MKT LLC Company Guide

  Section 140 - Original Listing Fees
  Section 141 - Annual Fees
  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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