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

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

  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
  4. Last updated by NYSE on August 23, 2018

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.


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.

Get Started


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.