Listing Information


Guidance for Listed Companies

Blast Emails

Additional Guidance


Corporate Governance

The Corporate Governance Listing Standards are set out in Section 303A, 312.03 and 313 of the NYSE Listed Company Manual.

Topics of Interest

12 Jan 2015


NYSE Interpretative Material

15 Jan 2013

4 Jan 2010

29 Mar 2007


Related Information

Corporate Board Member magazine, a part of NYSE Governance Services, provides the boardroom and c-suite communities with insights from experts, as well as resources from leading content, product, and service providers.


Section 303A Forms

The Section 303A written affirmations and exhibits can be submitted electronically through the egovdirect.com website. To register, email egovdirect.com or call +1 212 656 4651.

Alternatively, hard copy written affirmations and exhibits can be submitted using the forms below. A smaller reporting company that is relying on the smaller reporting company compensation committee exemption must submit a hard copy of the affirmation and exhibits using the forms below (see Section 303A Forms – Domestic).

Domestic

Foreign Private Issuers3

Document Description

Special Entities3

  1. Created or last updated by NYSE on January 16, 2014
  2. Last updated by NYSE on July 1, 2013
  3. Created or last updated by NYSE on January 4, 2010

Notifications to the NYSE

The NYSE has established a uniform method for listed companies to follow when providing notice to the NYSE of certain corporate events, like dividend record dates, stock distributions, record and meeting dates for shareholder meetings, shares outstanding reporting, etc. Providing a uniform method of notice simplifies the notification process and helps to ensure that notifications are received timely.

Effective January 2013, listed companies should comply with the NYSE’s notice requirement by using a web portal operated by the NYSE (see Section 204.00 of the NYSE Listed Company Manual). Egovdirect.com is the best way to ensure your notice requirements are fulfilled and that the NYSE has captured and processed your company’s events timely and accurately.

In the case of an emergency situation (e.g. a technical problem accessing egovdirect.com, or in the rare instance where a listed company is not able to use egovdirect.com to comply with this notification requirement, notifications can be submitted by calling the NYSE’s Market Watch & Proxy Compliance team and either emailing a copy of the notice.

Compliance with the NYSE’s Timely Disclosure Policy is separately required. If issuing material news during market hours (leading up to the open and between 9:30 am – 4:00 p.m. EST), listed companies are required to call the NYSE’s Market Watch & Proxy Compliance team ten minutes in advance of issuance and a copy of the press release or other Reg-FD compliant method must be submitted via egovdirect.com or emailed to nysealert@nyse.com.

Please contact the NYSE’s Market Watch & Proxy Compliance team should you have any questions.

egovdirect.com

+1 212 656 4651

NYSE Market Watch & Proxy Compliance

+1 877 699 2578


egovdirect.com

egovdirect.com is an interactive, web-based tool that helps listed companies meet their NYSE governance and compliance requirements efficiently and economically.

Electronic Filing Platform

Listed companies can save time and make efficient use of resources by filing compliance requirements via egovdirect.com such as:

  • Annual and Interim Affirmations
  • Annual CEO Certification
  • Officer and board members’ vital information
  • Dividends, shareholder meeting dates, shares outstanding and much more

Interactive System

  • Proactive system anticipates and notifies user of important filing dates
  • Automatic response immediately acknowledges filing
Archive Capabilities

  • One stop access to historical records of all corporate NYSE filings

Security

  • Fully secure environment protects site's contents and company's privacy
  • Redundant architecture for 100% uptime
egovdirect.com Hotline
+1 212 656 4651

Removals From Listings

The NYSE publishes two lists of issues pending delisting from the Exchange:

Exchange-initiated delisting
An issue is added to this list upon the Exchange's filing of a Form 25 with the SEC and remains posted until the application to delist the issue becomes effective with the SEC (generally 10 days).

Issuer-initiated delisting
An issue is added to this list one business day after the exchange is notified of the issuer's intent to voluntarily withdraw its listing by filing a Form 25 with the SEC, and remains posted until the issuer's application to delist becomes effective with the SEC.