NYSE Arca Regulation
NYSE Arca regulates the equities and options trading of its member firms through a robust program of surveillance, financial and operational compliance, and enforcement. It also ensures that listed securities meet strict standards of financial and corporate governance compliance.

Through a regulatory services agreement, NYSE Regulation is responsible for the regulation of trading on NYSE Arca.

 
NYSE Arca Enforcement
  
NYSE Arca FinOp Compliance
Investigates and prosecutes trading and other rule violations, and applicable federal laws or regulations, that occur on or through systems and facilities of NYSE Arca Equities, NYSE Arca Options, and Amex Options.
  
Financial and Operational Compliance is performed by FINRA under contract.
NYSE Arca Listing Standards
  
NYSE Arca Market Surveillance
Eligibility requirements allow smaller companies and exchange traded funds to gain visibility and access.
  
Learn about how this division operates and find Hotline phone numbers.
NYSE Arca Public Information
  
NYSE Arca Risk Group
Find regulatory bulletins, Regulation SHO, and other pertinent information.
  
Identifies and assesses internal and external risks.
NYSE Arca Rules & Interpretations
  
 
The all-electronic NYSE Arca is recognized by the U.S. Securities and Exchange Commission as a self-regulatory organization with its own set of rules and guidance.