NYSE Listing Application & Forms

The following is a list of the materials necessary to prepare an original listing application for the New York Stock Exchange. The first step in the application process is to contact the Exchange to request a confidential review of eligibility.  An original application should not be filed until the Exchange has provided the company with a letter notifying it of its eligibility clearance and conditions of listing.  Please contact Exchange representatives, should any questions arise.  Please click on the appropriate link and it will take you to the relevant document.

Please note that original signatures are required for all forms.
To view .pdf files, please use Adobe Acrobat Reader (which you may download for free). 

Download full application (doc)
Download full application (pdf)

Checklist for Original Listing Application    Word    PDF
Listing Application    Word    PDF
NYSE Allocation Policy and Procedures    
   a. Policy & Procedures; Instructions     Word  PDF
   b. Statement of Understanding Forms:    
Transfer and IPO    Word    PDF
Spin-off    Word    PDF
 Merger    Word    PDF
   c. Allocation Decision Form    Word    PDF
Listing Agreement Form    Word    PDF
Listing Fee Agreement Form    Word    PDF
Stock Distribution Schedule Form    Word    PDF
Memorandum with Respect to Unpaid Dividends, Unsettled Rights and Record Dates    Word    PDF
Sample Documentation    Word    PDF
Corporate Resolutions
Opinions of Counsel (as warranted)
Form 8-A / 20-F / 40-F
Sample Letter Regarding Rule 315
   
Executive Information    Word    PDF