Currently Listed

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 Forms

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 corporategovernance@nyse.com or corporategovernanceintl@nyse.com (only for Foreign Private Issuers). Questions relating to the corporate governance affirmations or NYSE corporate governance standards may be directed to +1 212 656 4542.

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.

Subject Document
CEO Certification

NYSE - Annual CEO Certification

Domestic

NYSE - Initial/Annual Domestic Company Corporate Governance Affirmation

NYSE - Interim Domestic Company Corporate Governance Affirmation

Foreign Private Issuers

NYSE - Initial/Annual Foreign Private Issuer Corporate Governance Affirmation

NYSE - Interim Foreign Private Issuer Corporate Governance Affirmation

Closed-End Funds

NYSE - Initial/Annual Closed-End Investment Company Corporate Governance Affirmation

NYSE - Interim Closed-End Investment Company Corporate Governance Affirmation

Special Entities

NYSE - Initial/Annual Special Entity Corporate Governance Affirmation

NYSE - Interim Special Entity Corporate Governance Affirmation


Listing Additional Shares

Effective April 1, 2019

For a NYSE issuer to issue additional shares or effective certain other corporate changes, it must seek NYSE authorization and file a Supplemental Listing Application (“SLAP”). NYSE Supplemental Listing Applications 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, the NYSE Supplemental Listing Application provided below may be submitted via email to the Continued Listing Analyst assigned to the Issuer. Questions relating to Supplemental Listing Applications, Analyst assignments, or NYSE shareholder approval rules may be directed to +1 212 656 5846.

A generic template to the NYSE Supplemental Listing Application form can be found here. The form must be saved to a local desktop drive before the work completed within the forms can be saved.

The NYSE Supplemental Listing Application 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. Issuer name,
  2. First six digits of the company's cusip number,
  3. Issuer'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,
  9. Date of the Issuer’s board approval, and
  10. 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.

Guidance

Blast Emails

DateSubject
01.24.19Impact of U.S. Government Shutdown on NYSE Listing Applications
01.10.19 2019 Listed Company Regulation Guidance Memo
03.15.18 Elimination of Need to Submit Physical Copies of Proxies to the Exchange
01.30.18 Dividend Notification Implementation
12.07.17 Material News Issued Immediately After NYSE Closing Time
09.11.17 Implementation of Revised Dividend Notification Policy
08.18.17 Changes Related to the Shortened Settlement Cycle (T+2)
07.31.17 Upcoming Revision to Dividend Notification Requirements
04.22.16 Section 203.01 Guidance for Foreign Private Issuers
02.22.16 Requirement for Interim Reporting By Foreign Private Issuers
10.15.15 Guidance Regarding Changes to Date of an Issuer’s Earnings Release
09.22.15 Amendment to Timely Alert Policy
11.18.14 Timely Alert: Policy Reminder

Topics of Interest

DateSubject
03.05.15NYSE Late Filer Rule

NYSE Interpretative Material

DateSubject
08.18.16 FAQs Regarding 303A.08 - Stockholder Approval for Equity Compensation Plans
01.15.13 Voting Rights Interpretations Under Listed Company Manual Section 313
01.04.10FAQs Regarding 303A - Corporate Governance Standards

Seeking to List

Visit the Listing section of the NYSE website to find resources for companies seeking to list, including company manuals, listing standards, and listing fees.

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Rules and Disciplinary Actions

Rules

As a registered securities exchange, NYSE is subject to the regulatory oversight of the SEC. All rules and rule amendments filed and approved by the SEC pursuant to Section 19(b) of the Securities and Exchange Act of 1934 and Rule 19b-4 thereafter.

Rule Filings

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

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.

Guidance and Rule Interpretations

NYSE 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.

Complaints and Inquires

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.