NYSE Regulation reviews and evaluates all NYSE Arca listing candidates to ensure compliance with initial listing criteria. Once listed, NYSE Regulation monitors all listed companies to ensure they comply with ongoing listing requirements.
Please note that companies that meet NYSE Arca listing criteria are not automatically cleared for listing. The approval of a given company is at the sole discretion of NYSE Arca.
If a candidate is cleared for listing, NYSE Regulation will issue a letter specifying the steps necessary to obtain final approval.
Companies interested in an exclusive listing on NYSE Arca for trading in the fully-electronic stock market should submit the following materials to NYSE Regulation:
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For Initial Public Offerings (IPOs)
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For Non-Initial Public Offerings (Non-IPOs)
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Executed listing application
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Executed listing application
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| Latest registration statement and exhibits |
Latest Form 10-K & 10-Q |
| SEC comments/responses |
Most recent proxy statement |
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Past six months' trading history
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Please send all necessary materials to:
NYSE Regulation
Listing Compliance
100 South Wacker Drive
Suite 1500
Chicago, Illinois 60606
For more information about required documentation including listing applications, listing agreements or other forms, please e-mail nysearcalistings@nyx.com
You can also access these forms by visiting listing applications and forms
NYSE Regulation reviews and evaluates all NYSE Arca listing candidates to ensure compliance with initial listing criteria. Once listed, NYSE Regulation monitors all listed companies to ensure they comply with ongoing listing requirements. Please note that companies that meet NYSE Arca listing criteria are not automatically cleared for listing. The approval of a given company is at the sole discretion of NYSE Regulation.
If a candidate is cleared for listing, NYSE Regulation will issue a letter specifying the steps necessary to obtain final approval.
Upon clearance for listing, the issuer must submit the following additional information:
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For Initial Public Offerings (IPOs)
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For Non-Initial Public Offerings (Non-IPOs)
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Executed listing agreement
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Latest Form 10-K and 10-Q
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| Opinion of counsel* |
Opinion of counsel* |
| Undertaking with respect to distribution standards |
Board Resolutions approving listing |
| Board Resolutions approving listing |
Articles of Incorporation & Bylaws |
| Articles of Incorporation & Bylaws |
Registrar/transfer agent agreement |
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Registrar/transfer agent agreement
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Registrar/transfer agent agreement
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| Specimen stock certificate |
Specimen stock certificate |
| Balance of listing fee |
1934 Act Registration statement |
| 1934 Act Registration statement |
Initial Written Affirmation |
| Initial Written Affirmation |
CUSIP Representation |
| CUSIP Representation |
Other information as NYSE Regulation may require |
| Other information as NYSE Regulation may require |
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* The opinion of counsel is a representation from the issuer that it complies with certain corporate governance listing requirements. For more information, please contact NYSE Regulation Listings Compliance.
As early as possible, the issuer should submit to NYSE Arca staff a list of its first three choices for a ticker symbol. NYSE Arca will endeavor to reserve a symbol for the issuer in order of preference, although there is no guarantee that any of the issuer’s choices will be available. For more information, please contact your Listing Sales Representative.
The issuer must register with the Securities and Exchange Commission (SEC) under Section 12(b) of the Securities Exchange Act of 1934 before being admitted to trading on NYSE as a listed security. Upon approval, and following receipt of all completed documentation, NYSE Arca will certify its approval of the listing with the SEC. Trading can commence upon effectiveness of the issuer’s Securities Exchange Act of 1934 registration statement.
For IPOs only, after trading has started NYSE Arca requires companies to submit a distribution schedule, signed by an executive officer, which provides certain information regarding the companies shares. For exclusive listings, the issuer must submit this schedule within 90 days of the closing of the IPO.
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