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About the AMEX Constitution and Rules

Covers the Constitution and Rules of the American Stock Exchange LLC.

What's New - July 2009

Administrative

  Officials - Officers of the American Stock Exchange LLC
  Members - Members of the American Stock Exchange LLC
  Member Organizations - Member Organizations of the American Stock Exchange LLC
  List of Securities - List of Securities

Office Rules

  Rule 476 - Disciplinary Proceedings Involving Charges Against Members, Member Organizations, Principal Executives, Approved Persons, Employees, or Others

NYSE Amex Equities Rules

  Rule 13 - Definitions of Orders
  Rule 123C - Market on the Close Policy and Expiration Procedures
  Rule 124 - Odd-Lot Orders
  Rule 125 - DMM Combination Review Policy
  Rule 342 - Offices-Approval, Supervision and Control
  Rule 401 - Business Conduct
  Rule 421 - Periodic Reports
  Rule 435 - Miscellaneous Prohibitions
  Rule 2010 - Standards of Commercial Honor and Principals of Trade
  Rule 2020 - Use of Manipulative, Deceptive or Other Fraudulent Devices
  Rule 2070 - Transactions Involving Exchange Employees
  Rule 3130 - Annual Certification of Compliance and Supervisory Processes
  Rule 3220 - Influencing or Rewarding Employees of Others
  Rule 4560 - Short Interest Reporting
  Rule 5190 - Notification Requirements for Offering Participants
  Rule 6140 - Other Trading Practices

Trading of Option Contracts

  Rule 900.3NY - Rules Principally Applicable to Trading of Option Contracts

Amex Company Guide

  Rule 110 - Securities of Foreign Companies
  Rule 610 - Publication of an Annual Report

 

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