NYSE Regulation Your browser is unsupported Please visit this URL to review a list of supported browsers. NYSE CONNECTLOGIN Listings Trading Market Data Insights About Regulation NYSE Regulation To protect investors and the integrity of the NYSE Exchange equities and options markets, NYSE Regulation implements and enforces the rules of the NYSE Exchanges and applicable federal securities laws with respect to both listed companies and broker-dealer member firms. To fulfill its duties, NYSE Regulation has an Issuer Regulation program and a Market Regulation program. NYSE Regulation executes its mandate independently and is led by a Chief Regulatory Officer. Issuer RegulationThe integrity of the NYSE Exchanges is dependent on the fair application of initial and continued listing standards.  The Issuer Regulation team is responsible for, among other things, reviewing and approving companies applying to list securities on the NYSE Exchanges, and monitoring and enforcing compliance with ongoing listing standards and requirements. The Initial Listings & ETPs group determines prospective companies’ eligibility for listing, reviews company and ETP applications, authorizes options listings, and monitors ETPs and options to ensure ongoing compliance with the listing standards of the relevant NYSE Exchange. The Continued Listing group monitors and enforces quantitative, qualitative and timely filing requirements of companies listed on the NYSE Exchanges, and initiates suspensions and delistings for companies that are noncompliant or no longer suitable for continued listing. The Market Watch and Corporate Actions group ensures that listed companies adhere to the timely alert policies of the NYSE Exchanges, including for material news releases, and processes corporate actions (e.g., mergers, redemptions, spinoffs, stock splits). Issuer Regulation Groups Initial Listings For companies seeking to list on an NYSE Exchange. Continued Listing Monitors listed issuers for ongoing compliance with quantitative and qualitative listing standards of the Exchange. Exchange Traded Products Oversees initial and continued listing of different types of Exchange Traded Products. Corporate Actions, Market Watch & Proxy Compliance Enforces NYSE's Timely Alert Policy, material news and proxy disclosure rules, and publishes daily corporate action events. Market RegulationThe Market Regulation team is responsible for enforcing compliance with the rules of the NYSE Exchanges as well as applicable federal securities laws by member firms and their associated persons. Where misconduct occurs, the Market Regulation team has the authority to prosecute and discipline members through the imposition of censures, fines and other sanctions. The Surveillance and Investigations (“S&I”) group surveils and preliminarily investigates members for potential market and trading related violations. S&I can issue informal disciplinary actions to members and their associated persons for their violations, such as Cautionary Action or Minor Rule Violation Letters. The Enforcement group investigates potentially violative conduct that may merit formal disciplinary action. When appropriate, Enforcement will take formal disciplinary action through either settlements (i.e., AWCs) or litigated proceedings, all of which are public. Litigated matters may proceed to a contested hearing before FINRA’s Office of Hearing Officers (OHO), which hears the matter and issues a decision. Market Regulation also oversees the work that FINRA conducts on behalf of the NYSE Exchanges pursuant to Regulatory Services Agreements (RSAs). These matters are regularly brought as cross-market actions on behalf of multiple self-regulatory organizations, sometimes including FINRA. Rules As a registered securities exchange, NYSE 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. Rule Filings All outstanding proposed rule changes, called 19b-4 filings, filed by NYSE with the SEC. 19b-4 filings relate to proposed changes to the NYSE Rules and federal securities laws. Rule Interpretations and Guidance NYSE Exchanges 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. 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. Regulation SHO Guidance and list of threshold securities for every settlement day. Governing Documents, Related Information, and Regulation NMS Plans Governing documents of NYSE Holdings LLC and its subsidiaries and applicable NMS Plans of which NYSE securities exchanges are members, along with related information. Other Rule Filings Incorporated By Reference Proposals and approvals to amend rules incorporated by reference from the rulebooks of other SROs. Forms View exchange related forms. 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