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Rules

As a registered securities exchange, NYSE American Options is subject to the regulatory oversight of the SEC and all rules and amendments must be filed with and approved by the SEC pursuant to Section 19(b) of the Securities and Exchange Act of 1934 and Rule 19b-4 thereunder.

View NYSE American Options Rules

Rule Filings

All outstanding proposed rule changes, called 19b-4 filings, filed by NYSE American Options with the SEC. 19b-4 filings relate to proposed changes to the NYSE American Rules and federal securities laws.

Search NYSE American Options Rule Filings

Disciplinary Actions

Disciplinary Actions stem from a variety of sources that include internal referrals, investor complaints, examinations of member organizations, and referrals from the SEC.

Search Disciplinary Actions

Rules

As a registered securities exchange, NYSE American Options is subject to the regulatory oversight of the SEC and all rules and amendments must be filed with and approved by the SEC pursuant to Section 19(b) of the Securities and Exchange Act of 1934 and Rule 19b-4 thereunder.

View NYSE American Options Rules

Rule Filings

All outstanding proposed rule changes, called 19b-4 filings, filed by NYSE American Options with the SEC. 19b-4 filings relate to proposed changes to the NYSE American Rules and federal securities laws.

Search NYSE American Options Rule Filings

Disciplinary Actions

Disciplinary Actions stem from a variety of sources that include internal referrals, investor complaints, examinations of member organizations, and referrals from the SEC.

Search Disciplinary Actions

Guidance and Rule Interpretations

NYSE American Options periodically issues interpretive guidance related to SEC and exchange rules. This guidance includes Information Memoranda, Weekly Bulletins, Rule Adoption Notices, Rule Interpretations, Rule Changes, Education Bulletins, and Regulatory Bulletins.

Search Guidance and Rule Interpretations

Complaints and Inquiries

NYSE Regulation welcomes information from investors and others who believe that a member firm or individual broker may have violated securities rules and regulations. Inquiries can also be sent through this system.

Learn More About Filing Complaints and Inquiries

Guidance and Rule Interpretations

NYSE American Options periodically issues interpretive guidance related to SEC and exchange rules. This guidance includes Information Memoranda, Weekly Bulletins, Rule Adoption Notices, Rule Interpretations, Rule Changes, Education Bulletins, and Regulatory Bulletins.

Search Guidance and Rule Interpretations

Complaints and Inquiries

NYSE Regulation welcomes information from investors and others who believe that a member firm or individual broker may have violated securities rules and regulations. Inquiries can also be sent through this system.

Learn More About Filing Complaints and Inquiries