Rules & Interpretations

The NYSE must maintain a body of rules to regulate its member organizations and their associated persons. At the core of the NYSE Rulebook are the underlying notions of just and equitable principles of trade and sound business practices.  The rules are designed to prevent fraudulent or manipulative acts and practices, and provide a means by which NYSE Regulation can take appropriate disciplinary actions against its membership when rule violations occur. As a registered securities exchange, the NYSE is subject to the regulatory oversight of the SEC. Accordingly, all rules and rule amendments proposed by the NYSE must be submitted to the SEC for approval.
 
Information Memos alert members and member firms to changes in NYSE trading policies and practices. Memos include the rule text and explain the change’s ramifications. Information Memos from January 1986 through the present are available here.
 
Member Education Bulletins are published by the Market Surveillance Division and are typically addressed to Floor members. They are used to publish interpretations of rules related to Floor trading, to clarify issues, and to issue reminder notices.
 
NYSE Arca Regulatory Bulletins include Rule Adoption Notices, Regulatory Bulletins, Regulatory Bulletins - Equities, and Regulatory Bulletins - Options.
 
Access a complete directory of NYSE rules.
 
The Rule Changes section lists amendments to current rules since 1997.
 
This section contains the text to all outstanding proposed rule changes, called 19b4 filings, filed by the NYSE with the U.S. Securities and Exchanges Commission (SEC). 19b4 filings relate to proposed changes to the NYSE Rules and federal securities laws.
 
Access the rules and bylaws of NYSE Arca—a separate self-regulatory organization that has contracted with NYSE Regulation for regulatory services.
 
View NYSE Rule Interpretations online.
 
 
View an online handbook of SEC Rule Interpretations.