As a registered securities exchange, NYSE MKT 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.
All outstanding proposed rule changes, called 19b-4 filings, filed by NYSE MKT with the SEC. 19b-4 filings relate to proposed changes to the NYSE MKT Rules and federal securities laws.
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 MKT 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.
Governing Documents, Related Information and NMS Plans