About the NYSE MKT Rules

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

What's New


Office Rules

  Rule 476A - Imposition of Fines for Minor Violation(s) of Rules

Equities Rules

  Rule 15 - Pre-Opening Indications
  Rule 36 - Emergency Powers
  Rule 70 - Execution of floor Broker Interest
  Rule 86 - NYSE MKT Bonds
  Rule 342 - Compliance Supervisors
  Rule 345 - Employees-Registration, Approval, Records
  Rule 351 - Reporting Requirements
  Rule 405 - Diligence as to Accounts
  Rule 407 - Employees of Members, Member Organizations and the Exchange
  Rule 408 - Discretionary Power in Customers' Accounts
  Rule 410 - Records of Orders
  Rule 416A - Member and Member Organization Profile Information Updates and Quarterly Certifications Via the Electronic Filing Platform
  Rule 472 - Communications With The Public
  Rule 3110 - Supervision
  Rule 3120 - Supervisory Control System
  Rule 3150 - Holding of Customer Mail
  Rule 3170 - Tape Recording of Registered Persons by Certain Firms

Trading of Option Contracts

  Rule 909ByRDs Other Restrictions on Binary Return Derivatives
  Rule 980ByRDs Automatic Exercise of Binary Return Derivatives
  Rule 900.2NY Definitions
  Rule 900.3NY Orders Defined
  Rule 967NY Price Protection

NYSE MKT LLC Company Guide

  Section 141 - Annual Fees
  Section 142 - Additional Listing Fees
  Section 332 - Fees for Listing Additional Securities
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