About the NYSE MKT Rules

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

What's New


Equities Rules

  Rule 13 - Orders and Modifiers
  Rule 17 - Use of Exchange Facilities and Vendor Services
  Rule 70 - Execution of Floor Broker Interest
  Rule 72 - Priority of Bids and Offers and Allocation of Executions
  Rule 104 - Dealings and Responsibilities of DMMs
  Rule 107B - Supplemental Liquidity Providers
  Rule 500 - Applicability
  Rule 501 - Definitions
  Rule 1000 - Automatic Execution of Limit Orders Against Orders Reflected in Exchange Published Quotation

Trading of Option Contracts

  Rule 904 Position Limits
  Rule 915 Criteria for Underlying Securities
  Rule 900.2NY Definitions
  Rule 923NY Appointment of Market Makers
  Rule 927.5NY e-Specialist Obligations
  Rule 927.6NY Review of e-Specialist Operations and Performance
  Rule 935NY Order Exposure Requirements
  Rule 960NY Trading Differentials
  Rule 971.1NY Electronic Cross Transactions
  Rule 980NY Electronic Complex Order Training
  Rule 995NY Prohibited Conduct

NYSE MKT LLC Company Guide

  Section 401 - Outline of Exchange Disclosure Policies
  Section 402 - Explanation of Exchange Disclosure Policies
  Section 404 - Exchange Surveillance Procedures
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