About the NYSE Rules

What's New

NYSE Rules

General Rules

  Rule 13 - Definition of Orders

  Rule 15 - Pre-Opening Indications

Dealings and Settlements

  Rule 62 - Variations

  Rule 123C - Market On The Close Policy And Expiration Procedures

Admission of Members

  Rule 300 - Trading Licenses

  Rule 309 - Failure to Pay Exchange Fees

  Rule 312 - Changes Within Member Organizations

  Rule 321 - Formation or Acquisition of Subsidiaries

Operation of Member Organizations

  Rule 352 - Guarantees, Sharing in Accounts, and Loan Arrangements

  Rule 451 - Transmission of Proxy Material

Disciplinary Rules

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

Conduct Rules

  Rule 4110 - Capital Compliance

  Rule 4120 - Regulatory Notification and Business Curtailment

  Rule 4130 - Regulation of Activities of Section 15C Member Organizations Experiencing Financial and/or Operational Difficulties

  Rule 4140 - Audit

  Rule 4521 - Notifications, Questionnaires and Reports