NYSE MKT

About the NYSE MKT Rules

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

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Rules

Office Rules

  Rule 341 - Approval of Registered Employees and Officers
  Rule 341A - Continuing Education for Registered Persons
  Rule 431 - Exchange Backup Systems and Mandatory Testing
  Rule 476A - Imposition of Fines for Minor Violation(s) of Rules

Equities Rules

  Rule 13 - Orders and Modifiers
  Rule 49 - Emergency Powers
  Rule 61 - Recognized Quotations
  Rule 70 - Execution of Floor Broker Interest
  Rule 103B - Security Allocation and Reallocation
  Rule 104 - Dealings and Responsibilities of DMMs
  Rule 107C - Retail Liquidity Program
  Rule 115A - Orders at Opening
  Rule 116 - 'Stop' Constitutes Guarantee
  Rule 123 - Record of Orders
  Rule 123A - Miscellaneous Requirements
  Rule 123C - The Closing Procedures
  Rule 123D - Openings and Halts in Trading
  Rule 132 - Comparison and Settlements of Transactions Through A Fully-Interfaced or Qualified Clearing Agency
  Rule 345 - Employees - Registration, Approval, Records
  Rule 345A - Continuing Education for Registered Persons
  Rule 440B - Short Sales
  Rule 501 - Definitions
  Rule 1000 - Automatic Execution of Limit Orders Against Orders Reflected in Exchange Published Quotation
  Rule 6140 - Other Trading Practices

Trading of Option Contracts

  Rule 921NY Registration of Market Makers
  Rule 921.1NY Market Maker Authorized Traders
  Rule 931NY Registration of Floor Brokers
  Rule 968NY Cabinet Trades (Accommodation Transactions)
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