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NYSE Arca Regulation

Rules and Interpretations


As a registered securities exchange, NYSE Arca is subject to the regulatory oversight of the SEC and all rules must be filed with the SEC pursuant to Section 19(b) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder.

NYSE Arca Rules, Bylaws and Certificates of Incorporation

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 Arca Rules and federal securities laws.

Rule Interpretations

National Market System Plan

Limit Up Limit Down Plan

Options Regulatory Surveillance Authority (ORSA)

Self Regulatory Organizations (SROs) that maintain markets for the trading of option securities have developed a national market system to collectively share regulatory and surveillance facilities.

Options Price Reporting Facility (OPRA)

The Options Price Reporting Authority (OPRA) provides, through Market Data Vendors, last sale information and current options quotations from a committee of Participant Exchanges designated as the Options Price Reporting Authority.

Options Listing Procedure Plan

The U.S. options exchanges and Options Clearing Corporation (OCC) are sponsors of the Options Listing Procedures Plan, a national market system plan, which describes procedures to be followed by the parties in connection with selecting specified underlying interests for listing purposes and requesting a review of such selections.

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