NYSE Chicago Regulation

Regulation

NYSE Chicago

Rules and Disciplinary Actions

Rules

As a registered securities exchange, NYSE Chicago 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.

View NYSE Chicago Rules

Rule Filings

All outstanding proposed rule changes, called 19b-4 filings, filed by NYSE Chicago (formerly Chicago Stock Exchange, Inc.) with the SEC. 19b-4 filings relate to proposed changes to the NYSE Chicago Rules and federal securities laws.

Search NYSE Chicago Rule Filings

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.

Search Disciplinary Actions

Guidance and Rule Interpretations

Includes Information Circulars, Information Memos, and Weekly Bulletins.

Search Regulatory Bulletins

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

Governing Documents, Related Information and NMS Plans

Governing Documents and Related Information