NYSE Regulation publishes a list of issuers that are noncompliant with NYSE Arca quantitative/qualitative continued listing standards (collectively “.BC”) or that are delayed in filing an annual or interim report required pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (a late filer or “.LF”).
Rules and Interpretations
NYSE Arca maintains a body of rules to regulate its member organizations and their associated persons. At the core of the NYSE Arca Rulebook are the underlying notions of just and equitable principles of trade and sound business practices. The rules are designed to prevent fraudulent or manipulative acts and practices, and provide a means by which FINRA, on behalf of NYSE Regulation, can take appropriate disciplinary action against its membership when rule violations occur. As a registered securities exchange, NYSE Arca is subject to the regulatory oversight of the SEC.
Accordingly, all rules and rule amendments proposed by NYSE Arca must be submitted to the SEC for approval.
NYSE Arca Rules, Bylaws & Certificates of Incorporation
NYSE Arca Regulatory Bulletins and Filings
NYSE Arca Rule Filings
Access the text to all outstanding proposed rule changes, called 19b4 filings, filed by the NYSE with the U.S. Securities and Exchanges Commission (SEC). 19b4 filings relate to proposed changes to the NYSE Rules and federal securities laws.
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 Arca Rules and federal securities laws.
Prior to June 2010, NYSE Regulation's Enforcement Division investigated and prosecuted violations of NYSE Arca Rules and applicable federal laws or regulations that occurred on or through the systems and facilities of the New York Stock Exchange. Since June 2010, FINRA investigates and prosecutes potential violations on NYSE Regulation’s behalf.
Disciplinary actions stem from a variety of sources that include internal referrals, investor complaints, examinations of member organizations, and referrals from the SEC.
Financial and Operational Compliance
NYSE Arca has contracted with FINRA as its agent to perform certain regulatory responsibilities. All broker dealer Equities Trading Permit Holders and Options Trading Permit Holders for which NYSE Arca is the Designated Examining Authority (DEA) must direct all financial and operational compliance notices, reports, including FOCUS Reports (submitted via the FINRA eFOCUS system) and updates to organizational documents to their FINRA Finance Coordinator. All NYSE Arca DEA broker-dealers may direct questions regarding FOCUS reports, financial disclosure filings, broker-dealer examinations and NYSE Arca rule-related questions to their FINRA Finance Coordinator.
FINRA eFocus System
All NYSE Arca DEA broker-dealers must submit their FOCUS Reports (Part IIA and Schedule I) to NYSE Arca via FINRA’s eFocus System, which can be accessed through the Electronic Filing Platform. Refer to NYSE Regulation Information Memo 07-25 (Web Based Transmission of FOCUS Data) for further information. Firms are reminded to maintain each manually signed FOCUS Report filed at its place of business. FINRA staff may request to review the signed cover page during their examinations, or may ask for a copy to be submitted to FINRA, as needed.
If you experience any problems accessing the system or have technical questions, please contact your FINRA Finance Coordinator.