As self-regulatory organizations, NYSE, NYSE MKT, NYSE Arca Equities, NYSE Arca Options, and NYSE Amex Options are responsible for enforcing both their own and their members' compliance with exchange rules and applicable federal securities requirements, as well as monitoring and enforcing compliance by listed companies with applicable listing standards. NYSE Regulation oversees these self-regulatory organization responsibilities and functions in support of our exchanges’ mission to promote just and equitable principles of trade, encourage free and open markets, and protect investors and the public interest. Many of these regulatory functions are performed directly by NYSE Regulation; others are allocated to FINRA or are otherwise performed by FINRA or other self-regulatory organizations pursuant to a regulatory services agreement and national market system plans.

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