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 email@example.com.
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 firstname.lastname@example.org or email@example.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.
|Foreign Private Issuers|
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:
|05.24.19||Listed Company Compliance Guidance for NYSE Issuers|
|01.24.19||Impact 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|
|03.05.15||NYSE Late Filer Rule|
|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|
|01.04.10||FAQs Regarding 303A - Corporate Governance Standards|
Visit the Listing section of the NYSE website to find resources for companies seeking to list, including company manuals, listing standards, and listing fees.
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.
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 stem from a variety of sources that include internal referrals, investor complaints, examinations of member organizations, and referrals from the SEC.
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.
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.