About the NYSE MKT Rules

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

What's New


Office Rules

  Rule 9217 - Violations Appropriate for Disposition Under Rule 9216(b)

Equities Rules

  Rule 15 - Pre-Opening Indicaitons and Opening Order Imbalance Information
  Rule 19 - Locking or Crossing Protected Quotations in NMS Stocks
  Rule 67 - Tick Size Pilot Plan
  Rule 80C - Limit Up—Limit Down Plan and Trading Pauses in Individual Securities Due to Extraordinary Market Volatility
  Rule 107C - Retail Liquidity Program
  Rule 123C - The Closing Procedures
  Rule 123D - Openings and Halts in Trading
  Rule 440B - Short Sales
  Rule 1000 - Automatic Executions
  Rule 2090 - Know Your Customer
  Rule 2111 - Suitability
  Rule 3170 - Tape Recording of Registered Persons by Certain Firms
  Rule 5210 - Publication of Transactions and Quotations

Trading of Option Contracts

  Rule 904 Position Limits
  Rule 900.2NY Definitions
  Rule 930NY Floor Broker Defined
  Rule 952NY Rules Principally Applicable to Trading of Option Contracts
  Rule 960NY Trading Differentials
  Rule 971.1NY Electronic Cross Transactions
  Rule 975NY Nullification and Adjustment of Options Transactions including Obvious Errors

NYSE MKT LLC Company Guide

  Section 146 - Products and Services Available to Issuers
  Section 401 - Outline of Exchange Disclosure Policies
  Section 402 - Explanation of Exchange Disclosure Policies
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