Company Resources

Guidance

 DateSubject
Blast Emails
  • 04.22.16
  • 02.22.16
  • 10.15.15
  • 09.22.15
  • 11.18.14
Topics of Interest
  • 01.12.16
  • 01.12.16
  • 03.05.15
NYSE Interpretative Material
  • 01.15.13
  • 01.04.10
  • 03.27.07

Notifications to NYSE

Compliance with NYSE's Timely Disclosure Policy is separately required. If issuing material news between the hours of 7:00 am and 4:00 pm, listed companies are required to call the NYSE's Market Watch & Proxy Compliance team at least ten minutes in advance of issuance and a copy of the press release or other Reg-FD compliant method must be submitted via email to nysealert@nyse.com.

Section 303A

Hard copy written affirmations and exhibits can be submitted using the forms below.

Subject Documents
Domestic Issuers1 Instructions Forms
Foreign Private Issuers3 Instructions Forms
Special Entitles3 Instructions Forms
  1. Created or last updated by NYSE on January 16, 2014
  2. Last updated by NYSE on July 1, 2013
  3. Created or last updated by NYSE on January 4, 2010

Listing Additional Shares

For an NYSE company to issue additional shares, it must seek NYSE authorization and file a Supplemental Listing Application ("SLAP"). A memo from the company, signed by an authorized company official providing the Exchange with relevant information relating to the transaction(s), will satisfy the Exchange's application requirements. The memo should be addressed to the Exchange and should include the following information:

  1. Company name,
  2. First six digits of the company's cusip number,
  3. Company's current NYSE ticker symbol,
  4. Description of each transaction,
  5. Number of shares and name of security to be issued or reserved for each transaction,
  6. Number of shares outstanding prior to this application (reflect treasury shares as a separate number, if any),
  7. Reference to documents filed or to be filed in support of the application (see 703.00),
  8. Reference to any other relevant public filing (i.e. Company Proxy, Prospectus, etc.). In review of the transaction(s), the Exchange may require additional information prior to authorization. The application and sufficient supporting documentation should be provided to the Exchange at least two weeks in advance of the required authorization date, and
  9. Indicate whether shareholder approval is required with respect to the issuance pursuant to Sections 303A.08 or 312.03 and, if required, the date such shareholder approval was obtained.

Here is a generic example of a supplemental application.

For questions regarding the listing of additional shares on the NYSE, please call +1 212 656 5846.