As a registered securities exchange, NYSE National 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.
All outstanding proposed rule changes, called 19b-4 filings, filed by NYSE National (formerly National Stock Exchange, Inc.) with the SEC. 19b-4 filings relate to proposed changes to the NYSE National Rules and federal securities laws.
Guidance and Rule Interpretations
Includes Regulatory Circulars and Information Circulars.
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, NMS Plans, and Rule 605 Data