About the NYSE MKT Rules

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

What's New


Equities Rules

  Rule 6 - "Floor"
  Rule 6A - "Trading Floor"
  Rule 497 - Additional Requirements for Listed Securities Issued by Intercontinental Exchange, Inc. or its Affiliates

Office Rules

  Rule 8313 - Release of Disciplinary Complaints, Decisions and Other Information
  Rule 9120 - Definitions
  Rule 9268 - Decision of Hearing Panel or Extended Hearing Panel
  Rule 9269 - Default Decisions
  Rule 9270 - Settlement Procedure
  Rule 9291 - Permanent Cease and Desist Orders
  Rule 9310 - Review by Exchange Board of Directors
  Rule 9551 - Failure to Comply with Public Communication Standards
  Rule 9552 - Failure to Provide Information or Keep Information Current
  Rule 9554 - Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or Settlement Providing for Restitution
  Rule 9555 - Failure to Meet the Eligibility or Qualification Standards or Prerequisites for Access to Services
  Rule 9556 - Failure to Comply with Temporary and Permanent Cease and Desist Orders
  Rule 9557 - Procedures for Regulating Activities Under Rules 470, 471, 4110 - Equities, 4120 - Equities and 4130 - Equities Regarding a Member or Member Organization Experiencing Financial or Operational Difficulties
  Rule 9558 - Summary Proceedings for Actions Authorized by Section 6(d)(3) of the Exchange Act
  Rule 9559 - Hearing Procedures for Expedited Proceedings Under the Rule 9550 Series
  Rule 9810 - Initiation of Proceeding
  Rule 9830 - Hearing
  Rule 9840 - Issuance of Temporary Cease and Desist Order by Hearing Panel
  Rule 9850 - Review by Hearing Panel
  Rule 9860 - Violation of Temporary Cease and Desist Orders

Trading of Option Contracts

  Rule 900G Applicability and Definitions
  Rule 903G Terms of FLEX Options
  Rule 904G FLEX Trading Procedures and Principles
  Rule 906G Position Limits
  Rule 908G Fidelity Bonds
  Rule 909G Financial Requirements for Specialists, Floor Brokers & Floor Market Makers Trading FLEX Options
  Rule 910G FLEX Official
  Rule 927NY Specialists
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