NYSE Arca Equities Regulation

Regulation

NYSE Arca Equities

Currently Listed

Listing Additional Securities

For a NYSE Arca issuer to list additional securities, it must receive NYSE Arca authorization and file a Supplemental Listing Application ("SLAP"). An NYSE Arca SLAP 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 [email protected] or + 1 212 656 4651.

If unable to make the submission through Listing Manager, as an alternative the NYSE Arca SLAP may be submitted via email to [email protected]. A generic template of the NYSE Arca SLAP form can be found below.

Document Format  

Supplemental Listing Application

PDF

Word

NYSE Arca Annual Written Affirmation

Exchange Traded Products listed on the Exchange are required to comply with NYSE Arca Rules and, in certain cases, a Securities and Exchange Commission ("SEC") Order approving its listing on the Exchange. NYSE Regulation monitors ETPs listed on the Exchange to ensure compliance with applicable Exchange rules and applicable SEC approval orders. All ETP issuers are required to complete and submit an annual affirmation to NYSE Regulation by December 31 to ensure that the Exchange has current information about all ETPs listed on the Exchange. The NYSE Arca Annual Written Affirmation 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 [email protected] or +1 212 656 4651. For any additional questions about the annual affirmation process, please contact [email protected].

FAQ on the NYSE Arca Annual Written Affirmation

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

NYSE Arca Equities is an NYSE Arca market. As a registered securities exchange, NYSE Arca 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.

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Latest changes to NYSE Arca Rules

Rule Filings

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

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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.

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Guidance and Rule Interpretations

NYSE Arca Equities 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.

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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