Standards

Manuals

Fees

Listing Forms and Applications

The following links provide 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 NYSE to request a confidential review of eligibility. A company should not file an original application until NYSE has provided a notification letter of eligibility clearance and conditions of listing.

Please note that original signatures are required for all forms.

Please also note NYSE and NYSE American require different forms and application materials. Scroll down for the appropriate market.

NYSE Listing Materials

Application, Section 303A written affirmation, statement of understanding
DocumentFormat 
  • Full Application
  • Checklist for Original Application
  • Original Listing Application
  • Domestic Listing Company Agreement
  • Voting Trust Listing Agreement
  • Sample Documentation, Including:
    Corporate Resolutions / Form 8-A / Form 20-F /
    Form 40-F / Sample Letter Regarding Rule 315

NYSE Section 303A Initial Corporate Governance Affirmation

Effective April 1, 2019

The Section 303A Corporate Governance Affirmations can be submitted electronically through Listing Manager, the NYSE’s fully integrated web application. Listing Manager is available for our NYSE, NYSE American, and NYSE Arca issuer community and replaces its predecessor, eGovDirect. Additional information about Listing Manager such as FAQs and training videos can be found here. If you have questions or concerns about Listing Manager, please contact us at ListingManager@nyse.com or +1 212 656 4651.

If unable to make the submission through Listing Manager, as an alternative, the Section 303A Corporate Governance Affirmations provided below may be submitted via email to the Initial Listing Analyst reviewing the Original Listing Application.

The below NYSE Section 303A Corporate Governance Affirmations forms are interactive. The forms must be saved to a local desktop drive before the work completed within the forms can be saved.

Domestic Company Form

Foreign Private Issuer Form

Closed End Fund Form

Special Entity Form

NYSE Non-U.S. Companies Listings Materials

Agreements and documents for Non-U.S. based companies
DocumentFormat 
  • Listing Agreement for Foreign Private Issuers
  • Depositary Listing Agreement
  • Free Share Distribution Understanding For Japanese Companies

NYSE American Listings Materials

Application, written affirmation and statement of understanding
DocumentFormat 
  • Checklist for Original Listing Application
  • Sample Listing Application for Common Stock
  • Sample Listing Application for Initial Public Offering
  • Sample Listings Application for Debentures
  • Sample Listing Application for American Depositary Receipts (ADR)
  • NYSE American Listing Agreement
  • Sample Underwriters' Letter
  • Application for Listing Additional Shares
DocumentFormat 
  • Statement of Understanding
<3h>NYSE American Initial/Annual Corporate Governance Affirmation

The Section 303A Corporate Governance Affirmations can be submitted electronically through Listing Manager, the NYSE’s fully integrated web application. Listing Manager is available for our NYSE, NYSE American, and NYSE Arca issuer community and replaces its predecessor, eGovDirect. Additional information about Listing Manager such as FAQs and training videos can be found here. If you have questions or concerns about Listing Manager, please contact us at ListingManager@nyse.com or +1 212 656 4651.

If unable to make the submission through Listing Manager, as an alternative, the NYSE American Corporate Governance Affirmation provided below may be submitted via email to the Initial Listing Analyst reviewing the Original Listing Application.

The below NYSE Section 303A Corporate Governance Affirmations forms are interactive. The forms must be saved to a local desktop drive before the work completed within the forms can be saved.

Please refer to the 2.5.15 Corporate Governance: Certification Requirements for more information.

NYSE Arca ETP Listing Materials

Listing Application, Listing Agreement and Supplemental Listing Application

For an issuer to list on NYSE Arca, it must receive NYSE Arca authorization and file a Listing Application and Listing Agreement and other required documents. For an existing NYSE Arca issuer to list additional securities, it must receive NYSE Arca authorization and file a Supplemental Listing Application ("SLAP"). The NYSE Arca listing application, listing agreement and SLAP can be submitted electronically through Listing Manager, the NYSE's fully integrated web application. Additional information about Listing Manager such as FAQs and training videos can be found here. If you have questions or concerns about Listing Manager, please contact us at ListingManager@nyse.com or + 1 212 656 4651.

If unable to make the submission through Listing Manager, as an alternative, listing documents may be submitted via email to NYSE-ETPTeam@TheIce.com. Generic templates for the NYSE Arca Listing Application, Listing Agreement and SLAP can be found below.

DocumentFormat 
  • Listing Application
  • Listing Agreement
  • Supplemental Listing Application

Have a question about NYSE Listings?