About the NYSE Rules

The Rules of the NYSE.

What's New


  Rule 6A - "Trading Floor"
  Rule 13 - Orders and Modifiers
  Rule 19 - Locking or Crossing Protected Quotations in NMS Stocks

Dealings and Settlements

  Rule 49 - Emergency Powers
  Rule 51 - Hours for Business
  Rule 67 - Tick Size Pilot Plan
  Rule 104 - Dealings and Responsibilities of DMMs
  Rule 107B - Supplemental Liquidity Providers
  Rule 123C - The Closing Procedures

Automatic Executions

  Rule 1004 - Election of Buy Minus Zero Plus Orders

Disciplinary Rules (Investigations and Sanctions)

  Rule 8313 - Release of Disciplinary Complaints, Decisions and Other Information

Disciplinary Rules (Procedural)

  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 4110, 4120 and 4130 Regarding a 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
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