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NYSE Regulation
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class="hidden"></div><div class="hidden"></div></nav><div class="flex-1"></div><div class="hidden"></div><form method="GET" class="relative m-0 flex items-center text-black" action="/site-search"><div class="text-base absolute right-0"><input type="search" name="q" disabled="" placeholder="Search" class="border-0 border-b-2 border-solid p-2 pr-10 text-base duration-100 focus:border-primary focus:outline-none lg-max:w-[70px] lg-max:placeholder-transparent lg-max:transition-all lg-max:ease-in-out lg-max:focus:w-[140px] border-black bg-white" value=""/><div class="pointer-events-none absolute right-0 top-1/2 -translate-y-1/2 px-4"><svg role="img" width="1em" height="1em" viewBox="0 0 18 18"><g stroke="none" stroke-width="1" fill="none" fill-rule="evenodd"><g transform="translate(-1362.000000, -104.000000)" fill="currentColor"><path d="M1379.00496,121.06904 C1378.86456,121.20944 1378.68096,121.28 1378.49736,121.28 C1378.31376,121.28 1378.13088,121.20944 1377.99048,121.06904 L1372.48032,115.538 C1371.37584,116.42576 1369.9776,116.96 1368.45552,116.96 C1364.89584,116.96 1362,114.05336 1362,110.48072 C1362,106.90736 1364.89584,104 1368.45552,104 C1372.0152,104 1374.91104,106.90736 1374.91104,110.48072 C1374.91104,112.00784 1374.37896,113.41112 1373.4948,114.51992 L1379.00496,120.05096 C1379.28504,120.33248 1379.28504,120.78752 1379.00496,121.06904 Z M1368.45552,105.44 C1365.6864,105.44 1363.43424,107.70152 1363.43424,110.48072 C1363.43424,113.2592 1365.6864,115.52 1368.45552,115.52 C1371.22392,115.52 1373.4768,113.2592 1373.4768,110.48072 C1373.4768,107.70152 1371.22392,105.44 1368.45552,105.44 Z"></path></g></g></svg></div></div></form></div><div></div><div></div></div><div id="integration-id-9d5ae91"><img class="w-full max-h-screen select-none object-cover" style="height:500px" alt="ICE" src="https://www.theice.com/publicdocs/images/Hero_1150x550_NYSE-Facade-01.png"/><div class="-mt-20 md:-mt-32 lg:-mt-40"><div data-testid="belt" class="px-3 lg:px-24"><div class="flex flex-col items-stretch gap-4 lg:flex-row lg:gap-8"><div class="flex-2 my-8 p-8 bg-black text-white"><div class="h-4"></div><div id="integration-id-7badc74" class=""><h1 class="m-0 font-headings border-0 pb-0 mers:border-b-2 mers:border-solid mers:border-secondary mers:pb-2.5 print:orphans-3 print:widows-3 font-medium normal-case leading-none print:break-after-avoid text-4xl imt:text-[2rem] md:text-6xl md:imt:text-5xl imt:mb-6">Regulation</h1></div><div class="h-6"></div><div class="pb-8"><div id="integration-id-af8e4df" class=""><p class="print:orphans-3 print:widows-3 print:text-black mb-6 last:mb-0">NYSE Regulation (“NYSER”) is responsible for monitoring activities on the NYSE’s equities, options, and bonds markets – i.e., the New York Stock Exchange LLC (equities and bonds), NYSE Arca, Inc. (equities and options), NYSE American LLC (equities and options), NYSE National, Inc. (equities), and NYSE Texas, Inc. (equities) (collectively, the “NYSE Exchanges”) – and for addressing non-compliance with the NYSE Exchanges’ rules and federal securities laws. </p></div></div><div id="integration-id-d102b77" class=""><p class="print:orphans-3 print:widows-3 print:text-black mb-6 last:mb-0">NYSER enforces both the NYSE Exchanges’ and their members' compliance with NYSE Exchange rules and applicable federal securities requirements. It also monitors and enforces listed companies’ compliance with applicable listing standards of the NYSE Exchanges. By performing these duties, NYSER supports the NYSE Exchanges’ efforts to promote just and equitable principles of trade, encourage free and open markets, and protect investors and the public interest. Many of these regulatory functions are performed directly by NYSER; others are performed by FINRA or other self-regulatory organizations pursuant to a regulatory services agreement, national market system plans, or other arrangements.</p></div></div><div class="my-8 flex-1 self-stretch border-solid p-8 text-black bg-white lg:self-end"><div id="integration-id-2660fb2" class=""><p class="print:orphans-3 print:widows-3 print:text-black mb-6 last:mb-0">Resources</p><p class="print:orphans-3 print:widows-3 print:text-black mb-6 last:mb-0"></p><hr class="border-0 border-black border-t-2 border-solid mx-0 mt-4 mb-4"/></div><div id="integration-id-c1e2a58" class="flex gap-x-4 text-left flex-col md:flex-row"><div class="flex-1"><div class="flex py-2 border-0 border-t border-solid first:border-t-0 md:first:border-t-0 border-black"><a href="/regulation/rules" class="flex w-full flex-row items-center no-underline hover:no-underline text-black"><div class="flex w-full flex-col"><div class="flex flex-1 flex-row items-center justify-between text-[0.95rem] md:text-base"><div class="">Rules</div><div class="flex flex-1 justify-start pl-4"><svg stroke="currentColor" fill="currentColor" stroke-width="0" viewBox="0 0 16 16" class="shrink-0" height="1em" width="1em" xmlns="http://www.w3.org/2000/svg"><path fill-rule="evenodd" clip-rule="evenodd" d="M10.072 8.024L5.715 3.667l.618-.62L11 7.716v.618L6.333 13l-.618-.619 4.357-4.357z"></path></svg></div></div><div class="text-[0.75rem] font-light md:text-xs">Filings, amendments, SEC releases, extensions, and withdrawals</div></div><div class="text-4xl"></div></a></div><div class="flex py-2 border-0 border-t border-solid first:border-t-0 md:first:border-t-0 border-black"><a href="/regulation/rule-filings" class="flex w-full flex-row items-center no-underline hover:no-underline text-black"><div class="flex w-full flex-col"><div class="flex flex-1 flex-row items-center justify-between text-[0.95rem] md:text-base"><div class="">Rule Filings</div><div class="flex flex-1 justify-start pl-4"><svg stroke="currentColor" fill="currentColor" stroke-width="0" viewBox="0 0 16 16" class="shrink-0" height="1em" width="1em" xmlns="http://www.w3.org/2000/svg"><path fill-rule="evenodd" clip-rule="evenodd" d="M10.072 8.024L5.715 3.667l.618-.62L11 7.716v.618L6.333 13l-.618-.619 4.357-4.357z"></path></svg></div></div><div class="text-[0.75rem] font-light md:text-xs">Filings, amendments, SEC releases, extensions, and withdrawals</div></div><div class="text-4xl"></div></a></div><div class="flex py-2 border-0 border-t border-solid first:border-t-0 md:first:border-t-0 border-black"><a href="/regulation/rule-interpretations" class="flex w-full flex-row items-center no-underline hover:no-underline text-black"><div class="flex w-full flex-col"><div class="flex flex-1 flex-row items-center justify-between text-[0.95rem] md:text-base"><div class="">Rule Interpretations</div><div class="flex flex-1 justify-start pl-4"><svg stroke="currentColor" fill="currentColor" stroke-width="0" viewBox="0 0 16 16" class="shrink-0" height="1em" width="1em" xmlns="http://www.w3.org/2000/svg"><path fill-rule="evenodd" clip-rule="evenodd" d="M10.072 8.024L5.715 3.667l.618-.62L11 7.716v.618L6.333 13l-.618-.619 4.357-4.357z"></path></svg></div></div><div class="text-[0.75rem] font-light md:text-xs">Interpretations, info memos, weekly and education bulletins, and rule changes</div></div><div class="text-4xl"></div></a></div><div class="flex py-2 border-0 border-t border-solid first:border-t-0 md:first:border-t-0 border-black"><a href="/regulation/threshold-securities" class="flex w-full flex-row items-center no-underline hover:no-underline text-black"><div class="flex w-full flex-col"><div class="flex flex-1 flex-row items-center justify-between text-[0.95rem] md:text-base"><div class="">Regulation SHO</div><div class="flex flex-1 justify-start pl-4"><svg stroke="currentColor" fill="currentColor" stroke-width="0" viewBox="0 0 16 16" class="shrink-0" height="1em" width="1em" xmlns="http://www.w3.org/2000/svg"><path fill-rule="evenodd" clip-rule="evenodd" d="M10.072 8.024L5.715 3.667l.618-.62L11 7.716v.618L6.333 13l-.618-.619 4.357-4.357z"></path></svg></div></div><div class="text-[0.75rem] font-light md:text-xs">Threshold securities listed for every settlement day.</div></div><div class="text-4xl"></div></a></div></div><div class="flex-1"><div class="flex py-2 border-0 border-t border-solid md:first:border-t-0 border-black"><a href="/regulation/noncompliant-issuers" class="flex w-full flex-row items-center no-underline hover:no-underline text-black"><div class="flex w-full flex-col"><div class="flex flex-1 flex-row items-center justify-between text-[0.95rem] md:text-base"><div class="">Noncompliant Issuers</div><div class="flex flex-1 justify-start pl-4"><svg stroke="currentColor" fill="currentColor" stroke-width="0" viewBox="0 0 16 16" class="shrink-0" height="1em" width="1em" xmlns="http://www.w3.org/2000/svg"><path fill-rule="evenodd" clip-rule="evenodd" d="M10.072 8.024L5.715 3.667l.618-.62L11 7.716v.618L6.333 13l-.618-.619 4.357-4.357z"></path></svg></div></div><div class="text-[0.75rem] font-light md:text-xs">Issuers noncompliant with standards of delaying filing annual or interim reports</div></div><div class="text-4xl"></div></a></div><div class="flex py-2 border-0 border-t border-solid md:first:border-t-0 border-black"><a href="/regulation/delistings" class="flex w-full flex-row items-center no-underline hover:no-underline text-black"><div class="flex w-full flex-col"><div class="flex flex-1 flex-row items-center justify-between text-[0.95rem] md:text-base"><div class="">Delistings</div><div class="flex flex-1 justify-start pl-4"><svg stroke="currentColor" fill="currentColor" stroke-width="0" viewBox="0 0 16 16" class="shrink-0" height="1em" width="1em" xmlns="http://www.w3.org/2000/svg"><path fill-rule="evenodd" clip-rule="evenodd" d="M10.072 8.024L5.715 3.667l.618-.62L11 7.716v.618L6.333 13l-.618-.619 4.357-4.357z"></path></svg></div></div><div class="text-[0.75rem] font-light md:text-xs">Issuers pending delisting form the Exchange</div></div><div class="text-4xl"></div></a></div><div class="flex py-2 border-0 border-t border-solid md:first:border-t-0 border-black"><a href="/regulation/disciplinary-actions" class="flex w-full flex-row items-center no-underline hover:no-underline text-black"><div class="flex w-full flex-col"><div class="flex flex-1 flex-row items-center justify-between text-[0.95rem] md:text-base"><div class="">Disciplinary Actions</div><div class="flex flex-1 justify-start pl-4"><svg stroke="currentColor" fill="currentColor" stroke-width="0" viewBox="0 0 16 16" class="shrink-0" height="1em" width="1em" xmlns="http://www.w3.org/2000/svg"><path fill-rule="evenodd" clip-rule="evenodd" d="M10.072 8.024L5.715 3.667l.618-.62L11 7.716v.618L6.333 13l-.618-.619 4.357-4.357z"></path></svg></div></div><div class="text-[0.75rem] font-light md:text-xs">List of NYSE Group exchange disciplinary actions</div></div><div class="text-4xl"></div></a></div><div class="flex py-2 border-0 border-t border-solid md:first:border-t-0 border-black"><a href="/proxy-rulings" class="flex w-full flex-row items-center no-underline hover:no-underline text-black"><div class="flex w-full flex-col"><div class="flex flex-1 flex-row items-center justify-between text-[0.95rem] md:text-base"><div class="">Proxy Rulings</div><div class="flex flex-1 justify-start pl-4"><svg stroke="currentColor" fill="currentColor" stroke-width="0" viewBox="0 0 16 16" class="shrink-0" height="1em" width="1em" xmlns="http://www.w3.org/2000/svg"><path fill-rule="evenodd" clip-rule="evenodd" d="M10.072 8.024L5.715 3.667l.618-.62L11 7.716v.618L6.333 13l-.618-.619 4.357-4.357z"></path></svg></div></div><div class="text-[0.75rem] font-light md:text-xs">List of discretionary/nondiscretionary vote determinations</div></div><div class="text-4xl"></div></a></div><div class="flex py-2 border-0 border-t border-solid md:first:border-t-0 border-black"><a href="#forms" class="flex w-full flex-row items-center no-underline hover:no-underline text-black"><div class="flex w-full flex-col"><div class="flex flex-1 flex-row items-center justify-between text-[0.95rem] md:text-base"><div class="flex flex-1">Forms</div><div class="flex justify-end pr-2"><svg stroke="currentColor" fill="currentColor" stroke-width="0" viewBox="0 0 16 16" class="shrink-0" height="1em" width="1em" xmlns="http://www.w3.org/2000/svg"><path fill-rule="evenodd" clip-rule="evenodd" d="M10.072 8.024L5.715 3.667l.618-.62L11 7.716v.618L6.333 13l-.618-.619 4.357-4.357z"></path></svg></div></div></div><div class="text-4xl"></div></a></div></div></div></div></div></div></div></div><div class="h-10"></div><div data-testid="belt" class="px-3 lg:px-24"><div class="h-10"></div><div id="integration-id-7329c8a" class=""><div class="text-center"><h2 class="m-0 font-headings border-0 pb-0 mers:border-b-2 mers:border-solid mers:border-secondary mers:pb-2.5 print:orphans-3 print:widows-3 font-medium normal-case leading-none print:break-after-avoid text-3xl imt:text-[1.75rem] md:text-5xl md:imt:text-4xl imt:mb-6">Our Markets</h2><p class="print:orphans-3 print:widows-3 print:text-black mb-6 last:mb-0"></p><hr class="border-0 border-black border-t-2 w-1/5 border-solid mx-auto mt-4 mb-4"/></div></div><div class="h-6"></div><div id="integration-id-92e524b"><div><div class="w-full overflow-x-auto"><div id=":71892:R19dkp::main" class="justify-center justify-items-center gap-x-2 gap-y-4 p-2 grid"><div id="integration-id-aa3fd26" class="flex border-black border-2 border-solid w-96"><div data-tileitem="true" class="flex flex-col-reverse w-96"><div class="flex flex-1 justify-between gap-8 p-8 flex-col"><div><div class="text-center"><h4 class="m-0 font-headings border-0 pb-0 print:orphans-3 print:widows-3 font-medium normal-case leading-none print:break-after-avoid text-xl imt:text-lg md:text-3xl md:imt:text-[1.5rem] imt:mb-6">NYSE</h4></div><div class="mt-10"><div id="integration-id-e53a8b7" class=""><div class="text-center"><p class="print:orphans-3 print:widows-3 print:text-black mb-6 last:mb-0"><a href="/regulation/nyse" class="text-left no-underline hover:underline cursor-pointer print:text-black print:underline text-secondary hover:text-secondary font-bold inline [&_svg]:inline"><span>Currently Listed Companies</span><svg stroke="currentColor" fill="currentColor" stroke-width="0" viewBox="0 0 16 16" height="1em" width="1em" xmlns="http://www.w3.org/2000/svg"><path fill-rule="evenodd" clip-rule="evenodd" d="M10.072 8.024L5.715 3.667l.618-.62L11 7.716v.618L6.333 13l-.618-.619 4.357-4.357z"></path></svg></a></p><p class="print:orphans-3 print:widows-3 print:text-black mb-6 last:mb-0"><a href="/regulation/nyse#seeking" class="text-left no-underline hover:underline cursor-pointer print:text-black print:underline text-secondary hover:text-secondary font-bold inline [&_svg]:inline"><span>Issuers Seeking to List</span><svg stroke="currentColor" fill="currentColor" stroke-width="0" viewBox="0 0 16 16" height="1em" width="1em" xmlns="http://www.w3.org/2000/svg"><path fill-rule="evenodd" clip-rule="evenodd" d="M10.072 8.024L5.715 3.667l.618-.62L11 7.716v.618L6.333 13l-.618-.619 4.357-4.357z"></path></svg></a></p><p class="print:orphans-3 print:widows-3 print:text-black mb-6 last:mb-0"><a href="/regulation/nyse#rules" class="text-left no-underline hover:underline cursor-pointer print:text-black print:underline text-secondary hover:text-secondary font-bold inline [&_svg]:inline"><span>Rules and Disciplinary Actions</span><svg stroke="currentColor" fill="currentColor" stroke-width="0" viewBox="0 0 16 16" height="1em" width="1em" xmlns="http://www.w3.org/2000/svg"><path fill-rule="evenodd" clip-rule="evenodd" d="M10.072 8.024L5.715 3.667l.618-.62L11 7.716v.618L6.333 13l-.618-.619 4.357-4.357z"></path></svg></a></p></div></div></div></div><div></div></div></div></div><div id="integration-id-3ddfe5f" class="flex border-black border-2 border-solid w-96"><div data-tileitem="true" class="flex flex-col-reverse w-96"><div class="flex flex-1 justify-between gap-8 p-8 flex-col"><div><div class="text-center"><h4 class="m-0 font-headings border-0 pb-0 print:orphans-3 print:widows-3 font-medium normal-case leading-none print:break-after-avoid text-xl imt:text-lg md:text-3xl md:imt:text-[1.5rem] imt:mb-6">NYSE Arca Equities</h4></div><div class="mt-10"><div id="integration-id-e215593" class=""><div class="text-center"><p class="print:orphans-3 print:widows-3 print:text-black mb-6 last:mb-0"><a href="/regulation/nyse-arca" class="text-left no-underline hover:underline cursor-pointer print:text-black print:underline text-secondary hover:text-secondary font-bold inline [&_svg]:inline"><span>Currently Listed Companies</span><svg stroke="currentColor" fill="currentColor" stroke-width="0" viewBox="0 0 16 16" height="1em" width="1em" xmlns="http://www.w3.org/2000/svg"><path fill-rule="evenodd" clip-rule="evenodd" d="M10.072 8.024L5.715 3.667l.618-.62L11 7.716v.618L6.333 13l-.618-.619 4.357-4.357z"></path></svg></a></p><p class="print:orphans-3 print:widows-3 print:text-black mb-6 last:mb-0"><a href="/regulation/nyse-arca#seeking" class="text-left no-underline hover:underline cursor-pointer print:text-black print:underline text-secondary hover:text-secondary font-bold inline [&_svg]:inline"><span>Issuers Seeking to List</span><svg stroke="currentColor" fill="currentColor" stroke-width="0" viewBox="0 0 16 16" height="1em" width="1em" xmlns="http://www.w3.org/2000/svg"><path fill-rule="evenodd" clip-rule="evenodd" d="M10.072 8.024L5.715 3.667l.618-.62L11 7.716v.618L6.333 13l-.618-.619 4.357-4.357z"></path></svg></a></p><p class="print:orphans-3 print:widows-3 print:text-black mb-6 last:mb-0"><a href="/regulation/nyse-arca#rules" class="text-left no-underline hover:underline cursor-pointer print:text-black print:underline text-secondary hover:text-secondary font-bold inline [&_svg]:inline"><span>Rules and Disciplinary Actions</span><svg stroke="currentColor" fill="currentColor" stroke-width="0" viewBox="0 0 16 16" height="1em" width="1em" xmlns="http://www.w3.org/2000/svg"><path fill-rule="evenodd" clip-rule="evenodd" d="M10.072 8.024L5.715 3.667l.618-.62L11 7.716v.618L6.333 13l-.618-.619 4.357-4.357z"></path></svg></a></p></div></div></div></div><div></div></div></div></div><div id="integration-id-c63909f" class="flex border-black border-2 border-solid w-96"><div data-tileitem="true" class="flex flex-col-reverse w-96"><div class="flex flex-1 justify-between gap-8 p-8 flex-col"><div><div class="text-center"><h4 class="m-0 font-headings border-0 pb-0 print:orphans-3 print:widows-3 font-medium normal-case leading-none print:break-after-avoid text-xl imt:text-lg md:text-3xl md:imt:text-[1.5rem] imt:mb-6">NYSE American</h4></div><div class="mt-10"><div id="integration-id-ffa56d8" class=""><div class="text-center"><p class="print:orphans-3 print:widows-3 print:text-black mb-6 last:mb-0"><a href="/regulation/nyse-american" class="text-left no-underline hover:underline cursor-pointer print:text-black print:underline text-secondary hover:text-secondary font-bold inline [&_svg]:inline"><span>Currently Listed Companies</span><svg stroke="currentColor" fill="currentColor" stroke-width="0" viewBox="0 0 16 16" height="1em" width="1em" xmlns="http://www.w3.org/2000/svg"><path fill-rule="evenodd" clip-rule="evenodd" d="M10.072 8.024L5.715 3.667l.618-.62L11 7.716v.618L6.333 13l-.618-.619 4.357-4.357z"></path></svg></a></p><p class="print:orphans-3 print:widows-3 print:text-black mb-6 last:mb-0"><a href="/regulation/nyse-american#seeking" class="text-left no-underline hover:underline cursor-pointer print:text-black print:underline text-secondary hover:text-secondary font-bold inline [&_svg]:inline"><span>Issuers Seeking to List</span><svg stroke="currentColor" fill="currentColor" stroke-width="0" viewBox="0 0 16 16" height="1em" width="1em" xmlns="http://www.w3.org/2000/svg"><path fill-rule="evenodd" clip-rule="evenodd" d="M10.072 8.024L5.715 3.667l.618-.62L11 7.716v.618L6.333 13l-.618-.619 4.357-4.357z"></path></svg></a></p><p class="print:orphans-3 print:widows-3 print:text-black mb-6 last:mb-0"><a href="/regulation/nyse-american/disciplinary-actions#rules" class="text-left no-underline hover:underline cursor-pointer print:text-black print:underline text-secondary hover:text-secondary font-bold inline [&_svg]:inline"><span>Rules and Disciplinary Actions</span><svg stroke="currentColor" fill="currentColor" stroke-width="0" viewBox="0 0 16 16" height="1em" width="1em" xmlns="http://www.w3.org/2000/svg"><path fill-rule="evenodd" clip-rule="evenodd" d="M10.072 8.024L5.715 3.667l.618-.62L11 7.716v.618L6.333 13l-.618-.619 4.357-4.357z"></path></svg></a></p></div></div></div></div><div></div></div></div></div><div id="integration-id-e9c2f27" class="flex border-black border-2 border-solid w-96"><div data-tileitem="true" class="flex flex-col-reverse w-96"><div class="flex flex-1 justify-between gap-8 p-8 flex-col"><div><div class="text-center"><h4 class="m-0 font-headings border-0 pb-0 print:orphans-3 print:widows-3 font-medium normal-case leading-none print:break-after-avoid text-xl imt:text-lg md:text-3xl md:imt:text-[1.5rem] imt:mb-6">NYSE Arca Options</h4></div><div class="mt-10"><div id="integration-id-832ca5d" class=""><div class="text-center"><p class="print:orphans-3 print:widows-3 print:text-black mb-6 last:mb-0"><a href="/regulation/arca-options" class="text-left no-underline hover:underline cursor-pointer print:text-black print:underline text-secondary hover:text-secondary font-bold inline [&_svg]:inline"><span>Rules and Disciplinary Actions</span><svg stroke="currentColor" fill="currentColor" stroke-width="0" viewBox="0 0 16 16" height="1em" width="1em" xmlns="http://www.w3.org/2000/svg"><path fill-rule="evenodd" clip-rule="evenodd" d="M10.072 8.024L5.715 3.667l.618-.62L11 7.716v.618L6.333 13l-.618-.619 4.357-4.357z"></path></svg></a></p></div></div></div></div><div></div></div></div></div></div><div id=":71892:R19dkp::last-row" class="flex flex-row flex-wrap justify-center justify-items-center gap-x-2 gap-y-4 p-2"><div id="integration-id-aa3fd26" class="flex border-black border-2 border-solid w-96"><div data-tileitem="true" class="flex flex-col-reverse w-96"><div class="flex flex-1 justify-between gap-8 p-8 flex-col"><div><div class="text-center"><h4 class="m-0 font-headings border-0 pb-0 print:orphans-3 print:widows-3 font-medium normal-case leading-none print:break-after-avoid text-xl imt:text-lg md:text-3xl md:imt:text-[1.5rem] imt:mb-6">NYSE</h4></div><div class="mt-10"><div id="integration-id-e53a8b7" class=""><div class="text-center"><p class="print:orphans-3 print:widows-3 print:text-black mb-6 last:mb-0"><a href="/regulation/nyse" class="text-left no-underline hover:underline cursor-pointer print:text-black print:underline text-secondary hover:text-secondary font-bold inline [&_svg]:inline"><span>Currently Listed Companies</span><svg stroke="currentColor" fill="currentColor" stroke-width="0" viewBox="0 0 16 16" height="1em" width="1em" xmlns="http://www.w3.org/2000/svg"><path fill-rule="evenodd" clip-rule="evenodd" d="M10.072 8.024L5.715 3.667l.618-.62L11 7.716v.618L6.333 13l-.618-.619 4.357-4.357z"></path></svg></a></p><p class="print:orphans-3 print:widows-3 print:text-black mb-6 last:mb-0"><a href="/regulation/nyse#seeking" class="text-left no-underline hover:underline cursor-pointer print:text-black print:underline text-secondary hover:text-secondary font-bold inline [&_svg]:inline"><span>Issuers Seeking to List</span><svg stroke="currentColor" fill="currentColor" stroke-width="0" viewBox="0 0 16 16" height="1em" width="1em" xmlns="http://www.w3.org/2000/svg"><path fill-rule="evenodd" clip-rule="evenodd" d="M10.072 8.024L5.715 3.667l.618-.62L11 7.716v.618L6.333 13l-.618-.619 4.357-4.357z"></path></svg></a></p><p class="print:orphans-3 print:widows-3 print:text-black mb-6 last:mb-0"><a href="/regulation/nyse#rules" class="text-left no-underline hover:underline cursor-pointer print:text-black print:underline text-secondary hover:text-secondary font-bold inline [&_svg]:inline"><span>Rules and Disciplinary Actions</span><svg stroke="currentColor" fill="currentColor" stroke-width="0" viewBox="0 0 16 16" height="1em" width="1em" xmlns="http://www.w3.org/2000/svg"><path fill-rule="evenodd" clip-rule="evenodd" d="M10.072 8.024L5.715 3.667l.618-.62L11 7.716v.618L6.333 13l-.618-.619 4.357-4.357z"></path></svg></a></p></div></div></div></div><div></div></div></div></div><div id="integration-id-3ddfe5f" class="flex border-black border-2 border-solid w-96"><div data-tileitem="true" class="flex flex-col-reverse w-96"><div class="flex flex-1 justify-between gap-8 p-8 flex-col"><div><div class="text-center"><h4 class="m-0 font-headings border-0 pb-0 print:orphans-3 print:widows-3 font-medium normal-case leading-none print:break-after-avoid text-xl imt:text-lg md:text-3xl md:imt:text-[1.5rem] imt:mb-6">NYSE Arca Equities</h4></div><div class="mt-10"><div id="integration-id-e215593" class=""><div class="text-center"><p class="print:orphans-3 print:widows-3 print:text-black mb-6 last:mb-0"><a href="/regulation/nyse-arca" class="text-left no-underline hover:underline cursor-pointer print:text-black print:underline text-secondary hover:text-secondary font-bold inline [&_svg]:inline"><span>Currently Listed Companies</span><svg stroke="currentColor" fill="currentColor" stroke-width="0" viewBox="0 0 16 16" height="1em" width="1em" xmlns="http://www.w3.org/2000/svg"><path fill-rule="evenodd" clip-rule="evenodd" d="M10.072 8.024L5.715 3.667l.618-.62L11 7.716v.618L6.333 13l-.618-.619 4.357-4.357z"></path></svg></a></p><p class="print:orphans-3 print:widows-3 print:text-black mb-6 last:mb-0"><a href="/regulation/nyse-arca#seeking" class="text-left no-underline hover:underline cursor-pointer print:text-black print:underline text-secondary hover:text-secondary font-bold inline [&_svg]:inline"><span>Issuers Seeking to List</span><svg stroke="currentColor" fill="currentColor" stroke-width="0" viewBox="0 0 16 16" height="1em" width="1em" xmlns="http://www.w3.org/2000/svg"><path fill-rule="evenodd" clip-rule="evenodd" d="M10.072 8.024L5.715 3.667l.618-.62L11 7.716v.618L6.333 13l-.618-.619 4.357-4.357z"></path></svg></a></p><p class="print:orphans-3 print:widows-3 print:text-black mb-6 last:mb-0"><a href="/regulation/nyse-arca#rules" class="text-left no-underline hover:underline cursor-pointer print:text-black print:underline text-secondary hover:text-secondary font-bold inline [&_svg]:inline"><span>Rules and Disciplinary Actions</span><svg stroke="currentColor" fill="currentColor" stroke-width="0" viewBox="0 0 16 16" height="1em" width="1em" xmlns="http://www.w3.org/2000/svg"><path fill-rule="evenodd" clip-rule="evenodd" d="M10.072 8.024L5.715 3.667l.618-.62L11 7.716v.618L6.333 13l-.618-.619 4.357-4.357z"></path></svg></a></p></div></div></div></div><div></div></div></div></div><div id="integration-id-c63909f" class="flex border-black border-2 border-solid w-96"><div data-tileitem="true" class="flex flex-col-reverse w-96"><div class="flex flex-1 justify-between gap-8 p-8 flex-col"><div><div class="text-center"><h4 class="m-0 font-headings border-0 pb-0 print:orphans-3 print:widows-3 font-medium normal-case leading-none print:break-after-avoid text-xl imt:text-lg md:text-3xl md:imt:text-[1.5rem] imt:mb-6">NYSE American</h4></div><div class="mt-10"><div id="integration-id-ffa56d8" class=""><div class="text-center"><p class="print:orphans-3 print:widows-3 print:text-black mb-6 last:mb-0"><a href="/regulation/nyse-american" class="text-left no-underline hover:underline cursor-pointer print:text-black print:underline text-secondary hover:text-secondary font-bold inline [&_svg]:inline"><span>Currently Listed Companies</span><svg stroke="currentColor" fill="currentColor" stroke-width="0" viewBox="0 0 16 16" height="1em" width="1em" xmlns="http://www.w3.org/2000/svg"><path fill-rule="evenodd" clip-rule="evenodd" d="M10.072 8.024L5.715 3.667l.618-.62L11 7.716v.618L6.333 13l-.618-.619 4.357-4.357z"></path></svg></a></p><p class="print:orphans-3 print:widows-3 print:text-black mb-6 last:mb-0"><a href="/regulation/nyse-american#seeking" class="text-left no-underline hover:underline cursor-pointer print:text-black print:underline text-secondary hover:text-secondary font-bold inline [&_svg]:inline"><span>Issuers Seeking to List</span><svg stroke="currentColor" fill="currentColor" stroke-width="0" viewBox="0 0 16 16" height="1em" width="1em" xmlns="http://www.w3.org/2000/svg"><path fill-rule="evenodd" clip-rule="evenodd" d="M10.072 8.024L5.715 3.667l.618-.62L11 7.716v.618L6.333 13l-.618-.619 4.357-4.357z"></path></svg></a></p><p class="print:orphans-3 print:widows-3 print:text-black mb-6 last:mb-0"><a href="/regulation/nyse-american/disciplinary-actions#rules" class="text-left no-underline hover:underline cursor-pointer print:text-black print:underline text-secondary hover:text-secondary font-bold inline [&_svg]:inline"><span>Rules and Disciplinary Actions</span><svg stroke="currentColor" fill="currentColor" stroke-width="0" viewBox="0 0 16 16" height="1em" width="1em" xmlns="http://www.w3.org/2000/svg"><path fill-rule="evenodd" clip-rule="evenodd" d="M10.072 8.024L5.715 3.667l.618-.62L11 7.716v.618L6.333 13l-.618-.619 4.357-4.357z"></path></svg></a></p></div></div></div></div><div></div></div></div></div><div id="integration-id-e9c2f27" class="flex border-black border-2 border-solid w-96"><div data-tileitem="true" class="flex flex-col-reverse w-96"><div class="flex flex-1 justify-between gap-8 p-8 flex-col"><div><div class="text-center"><h4 class="m-0 font-headings border-0 pb-0 print:orphans-3 print:widows-3 font-medium normal-case leading-none print:break-after-avoid text-xl imt:text-lg md:text-3xl md:imt:text-[1.5rem] imt:mb-6">NYSE Arca Options</h4></div><div class="mt-10"><div id="integration-id-832ca5d" class=""><div class="text-center"><p class="print:orphans-3 print:widows-3 print:text-black mb-6 last:mb-0"><a href="/regulation/arca-options" class="text-left no-underline hover:underline cursor-pointer print:text-black print:underline text-secondary hover:text-secondary font-bold inline [&_svg]:inline"><span>Rules and Disciplinary Actions</span><svg stroke="currentColor" fill="currentColor" stroke-width="0" viewBox="0 0 16 16" height="1em" width="1em" xmlns="http://www.w3.org/2000/svg"><path fill-rule="evenodd" clip-rule="evenodd" d="M10.072 8.024L5.715 3.667l.618-.62L11 7.716v.618L6.333 13l-.618-.619 4.357-4.357z"></path></svg></a></p></div></div></div></div><div></div></div></div></div></div><style>#\:71892\:R19dkp\:\:main{grid-template-columns:repeat(1,384px);}#\:71892\:R19dkp\:\:main>:nth-last-child(-n+0),#\:71892\:R19dkp\:\:last-row>:not(:nth-last-child(-n+0)){display:none;}</style></div></div></div><div class="h-6"></div><div id="integration-id-3bb5a4f"><div><div class="w-full overflow-x-auto"><div id=":71892:R1ddkp::main" class="justify-center justify-items-center gap-x-2 gap-y-4 p-2 grid"><div id="integration-id-68facbf" class="flex border-black border-2 border-solid w-96"><div data-tileitem="true" class="flex flex-col-reverse w-96"><div class="flex flex-1 justify-between gap-8 p-8 flex-col"><div><div class="text-center"><h4 class="m-0 font-headings border-0 pb-0 print:orphans-3 print:widows-3 font-medium normal-case leading-none print:break-after-avoid text-xl imt:text-lg md:text-3xl md:imt:text-[1.5rem] imt:mb-6">NYSE American Options</h4></div><div class="mt-10"><div id="integration-id-80cc8d8" class=""><div class="text-center"><p class="print:orphans-3 print:widows-3 print:text-black mb-6 last:mb-0"><a href="/regulation/american-options" class="text-left no-underline hover:underline cursor-pointer print:text-black print:underline text-secondary hover:text-secondary font-bold inline [&_svg]:inline"><span>Rules and Disciplinary Actions</span><svg stroke="currentColor" fill="currentColor" stroke-width="0" viewBox="0 0 16 16" height="1em" width="1em" xmlns="http://www.w3.org/2000/svg"><path fill-rule="evenodd" clip-rule="evenodd" d="M10.072 8.024L5.715 3.667l.618-.62L11 7.716v.618L6.333 13l-.618-.619 4.357-4.357z"></path></svg></a></p></div></div></div></div><div></div></div></div></div><div id="integration-id-1b1b1c2" class="flex border-black border-2 border-solid w-96"><div data-tileitem="true" class="flex flex-col-reverse w-96"><div class="flex flex-1 justify-between gap-8 p-8 flex-col"><div><div class="text-center"><h4 class="m-0 font-headings border-0 pb-0 print:orphans-3 print:widows-3 font-medium normal-case leading-none print:break-after-avoid text-xl imt:text-lg md:text-3xl md:imt:text-[1.5rem] imt:mb-6">NYSE National</h4></div><div class="mt-10"><div id="integration-id-18f40cb" class=""><div class="text-center"><p class="print:orphans-3 print:widows-3 print:text-black mb-6 last:mb-0"><a href="/regulation/nyse-national/rules" class="text-left no-underline hover:underline cursor-pointer print:text-black print:underline text-secondary hover:text-secondary font-bold inline [&_svg]:inline"><span>Rules</span><svg stroke="currentColor" fill="currentColor" stroke-width="0" viewBox="0 0 16 16" height="1em" width="1em" xmlns="http://www.w3.org/2000/svg"><path fill-rule="evenodd" clip-rule="evenodd" d="M10.072 8.024L5.715 3.667l.618-.62L11 7.716v.618L6.333 13l-.618-.619 4.357-4.357z"></path></svg></a></p><p class="print:orphans-3 print:widows-3 print:text-black mb-6 last:mb-0"></p><p class="print:orphans-3 print:widows-3 print:text-black mb-6 last:mb-0"><span class="" style="color:#ffffff">_____________________________________</span></p></div></div></div></div><div></div></div></div></div><div id="integration-id-8eccf6b" class="flex border-black border-2 border-solid w-96"><div data-tileitem="true" class="flex flex-col-reverse w-96"><div class="flex flex-1 justify-between gap-8 p-8 flex-col"><div><div class="text-center"><h4 class="m-0 font-headings border-0 pb-0 print:orphans-3 print:widows-3 font-medium normal-case leading-none print:break-after-avoid text-xl imt:text-lg md:text-3xl md:imt:text-[1.5rem] imt:mb-6">NYSE Texas</h4></div><div class="mt-10"><div id="integration-id-a882d3e" class=""><div class="text-center"><p class="print:orphans-3 print:widows-3 print:text-black mb-6 last:mb-0"><a href="/regulation/nyse-texas" class="text-left no-underline hover:underline cursor-pointer print:text-black print:underline text-secondary hover:text-secondary font-bold inline [&_svg]:inline"><span>Rules</span><svg stroke="currentColor" fill="currentColor" stroke-width="0" viewBox="0 0 16 16" height="1em" width="1em" xmlns="http://www.w3.org/2000/svg"><path fill-rule="evenodd" clip-rule="evenodd" d="M10.072 8.024L5.715 3.667l.618-.62L11 7.716v.618L6.333 13l-.618-.619 4.357-4.357z"></path></svg></a></p><p class="print:orphans-3 print:widows-3 print:text-black mb-6 last:mb-0"></p><p class="print:orphans-3 print:widows-3 print:text-black mb-6 last:mb-0"></p><p class="print:orphans-3 print:widows-3 print:text-black mb-6 last:mb-0"><span class="" style="color:#ffffff">__________________________________</span></p><p class="print:orphans-3 print:widows-3 print:text-black mb-6 last:mb-0"></p></div></div></div></div><div></div></div></div></div><div id="integration-id-1645208" class="flex bg-gray w-96"><div data-tileitem="true" class="flex flex-col-reverse w-96"><div class="flex flex-1 justify-between gap-8 p-8 flex-col"><div><div class="text-center"><h4 class="m-0 font-headings border-0 pb-0 print:orphans-3 print:widows-3 font-medium normal-case leading-none print:break-after-avoid text-xl imt:text-lg md:text-3xl md:imt:text-[1.5rem] imt:mb-6">Complaints & Inquiries</h4></div><div class="mt-10"><div id="integration-id-6f075ae" class=""><p class="print:orphans-3 print:widows-3 print:text-black mb-6 last:mb-0">NYSE Regulation ("NYSER") welcomes information from investors and others who believe that a member firm or individual broker may have violated securities rules and regulations. </p></div></div></div><div><div id="integration-id-7e4c50f" class=""><div class="text-center"><p class="print:orphans-3 print:widows-3 print:text-black mb-6 last:mb-0"><a data-is-button="true" href="/regulation/complaints-and-inquiries" data-checked="false" class="font-medium justify-center items-center no-underline focus-within:outline-none focus:outline-none focus-within:ring focus:ring leading-tight align-middle duration-75 active:shadow-none active:translate-y-px max-w-full select-none bg-black admin:bg-primary text-white border-white shadow-lg hover:text-primary admin:hover:text-white active:text-primary admin:hover:text-white active:shadow-none checked:text-primary text-xs md:text-sm gap-1 md:gap-4 border rounded-tl rounded-tr rounded-bl rounded-br inline-flex px-6 md:px-12 py-1 md:py-2 cursor-pointer uppercase flex-row-reverse break-words"><span><svg stroke="currentColor" fill="currentColor" stroke-width="0" viewBox="0 0 16 16" height="1em" width="1em" xmlns="http://www.w3.org/2000/svg"><path fill-rule="evenodd" clip-rule="evenodd" d="M10.072 8.024L5.715 3.667l.618-.62L11 7.716v.618L6.333 13l-.618-.619 4.357-4.357z"></path></svg></span><span>Learn more</span></a></p></div></div></div></div></div></div></div><div id=":71892:R1ddkp::last-row" class="flex flex-row flex-wrap justify-center justify-items-center gap-x-2 gap-y-4 p-2"><div id="integration-id-68facbf" class="flex border-black border-2 border-solid w-96"><div data-tileitem="true" class="flex flex-col-reverse w-96"><div class="flex flex-1 justify-between gap-8 p-8 flex-col"><div><div class="text-center"><h4 class="m-0 font-headings border-0 pb-0 print:orphans-3 print:widows-3 font-medium normal-case leading-none print:break-after-avoid text-xl imt:text-lg md:text-3xl md:imt:text-[1.5rem] imt:mb-6">NYSE American Options</h4></div><div class="mt-10"><div id="integration-id-80cc8d8" class=""><div class="text-center"><p class="print:orphans-3 print:widows-3 print:text-black mb-6 last:mb-0"><a href="/regulation/american-options" class="text-left no-underline hover:underline cursor-pointer print:text-black print:underline text-secondary hover:text-secondary font-bold inline [&_svg]:inline"><span>Rules and Disciplinary Actions</span><svg stroke="currentColor" fill="currentColor" stroke-width="0" viewBox="0 0 16 16" height="1em" width="1em" xmlns="http://www.w3.org/2000/svg"><path fill-rule="evenodd" clip-rule="evenodd" d="M10.072 8.024L5.715 3.667l.618-.62L11 7.716v.618L6.333 13l-.618-.619 4.357-4.357z"></path></svg></a></p></div></div></div></div><div></div></div></div></div><div id="integration-id-1b1b1c2" class="flex border-black border-2 border-solid w-96"><div data-tileitem="true" class="flex flex-col-reverse w-96"><div class="flex flex-1 justify-between gap-8 p-8 flex-col"><div><div class="text-center"><h4 class="m-0 font-headings border-0 pb-0 print:orphans-3 print:widows-3 font-medium normal-case leading-none print:break-after-avoid text-xl imt:text-lg md:text-3xl md:imt:text-[1.5rem] imt:mb-6">NYSE National</h4></div><div class="mt-10"><div id="integration-id-18f40cb" class=""><div class="text-center"><p class="print:orphans-3 print:widows-3 print:text-black mb-6 last:mb-0"><a href="/regulation/nyse-national/rules" class="text-left no-underline hover:underline cursor-pointer print:text-black print:underline text-secondary hover:text-secondary font-bold inline [&_svg]:inline"><span>Rules</span><svg stroke="currentColor" fill="currentColor" stroke-width="0" viewBox="0 0 16 16" height="1em" width="1em" xmlns="http://www.w3.org/2000/svg"><path fill-rule="evenodd" clip-rule="evenodd" d="M10.072 8.024L5.715 3.667l.618-.62L11 7.716v.618L6.333 13l-.618-.619 4.357-4.357z"></path></svg></a></p><p class="print:orphans-3 print:widows-3 print:text-black mb-6 last:mb-0"></p><p class="print:orphans-3 print:widows-3 print:text-black mb-6 last:mb-0"><span class="" style="color:#ffffff">_____________________________________</span></p></div></div></div></div><div></div></div></div></div><div id="integration-id-8eccf6b" class="flex border-black border-2 border-solid w-96"><div data-tileitem="true" class="flex flex-col-reverse w-96"><div class="flex flex-1 justify-between gap-8 p-8 flex-col"><div><div class="text-center"><h4 class="m-0 font-headings border-0 pb-0 print:orphans-3 print:widows-3 font-medium normal-case leading-none print:break-after-avoid text-xl imt:text-lg md:text-3xl md:imt:text-[1.5rem] imt:mb-6">NYSE Texas</h4></div><div class="mt-10"><div id="integration-id-a882d3e" class=""><div class="text-center"><p class="print:orphans-3 print:widows-3 print:text-black mb-6 last:mb-0"><a href="/regulation/nyse-texas" class="text-left no-underline hover:underline cursor-pointer print:text-black print:underline text-secondary hover:text-secondary font-bold inline [&_svg]:inline"><span>Rules</span><svg stroke="currentColor" fill="currentColor" stroke-width="0" viewBox="0 0 16 16" height="1em" width="1em" xmlns="http://www.w3.org/2000/svg"><path fill-rule="evenodd" clip-rule="evenodd" d="M10.072 8.024L5.715 3.667l.618-.62L11 7.716v.618L6.333 13l-.618-.619 4.357-4.357z"></path></svg></a></p><p class="print:orphans-3 print:widows-3 print:text-black mb-6 last:mb-0"></p><p class="print:orphans-3 print:widows-3 print:text-black mb-6 last:mb-0"></p><p class="print:orphans-3 print:widows-3 print:text-black mb-6 last:mb-0"><span class="" 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