NYSE Regulation | NYSE National Rules (2024)

FAQs

What is NYSE regulation? ›

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.

NYSE 20% Rule: Stockholder Approval Requirements for Securities Offerings | Practical Law. An overview of the so-called New York Stock Exchange (NYSE) 20% rule requiring stockholder approval before a listed company can issue 20% or more of its outstanding common stock or voting power.

Current Rule 235 provides that transactions in stocks shall be ex-dividend or ex-rights on the business day preceding the record date fixed by the corporation or the date of the closing of transfer books.

Every member not associated with a member organization and every member organization shall make and preserve books and records as the Exchange may prescribe and as prescribed by Rule 17a-3. The recordkeeping format, medium and retention period shall comply with Rule 17a-4 under the Securities Exchange Act of 1934.

The New York Stock Exchange (NYSE) is a stock exchange located in New York City that is the largest equities-based exchange in the world, based on the total market capitalization of its listed securities.

For example, on the New York Stock Exchange (NYSE), if a security's price closed below $1.00 for 30 consecutive trading days, that exchange would initiate the delisting process.

Visitors shall not be admitted to the Floor except by permission of the Exchange. (This provision of Rule 37 is unchanged.)

The fifty percent principle is a rule of thumb that anticipates the size of a technical correction. The fifty percent principle states that when a stock or other asset begins to fall after a period of rapid gains, it will lose at least 50% of its most recent gains before the price begins advancing again.

NYSE American Rule 320 also requires members to establish, maintain, and enforce WSPs reasonably designed to achieve compliance with applicable federal securities laws and regulations and Exchange Rules, as part of their compliance system and supervisory controls.

What is the rule 314 of the NYSE? ›

As further amended, Section 314.00 of the NYSE Listed Company Manual (“Section 314.00”) requires a company's audit committee or another independent body of a company's board of directors to review in advance those “related party transactions” that must be disclosed (i) by domestic companies under Item 404 of Regulation ...

NYSE Rule 304 further provides that no person may become or remain an approved person unless such person meets the standards prescribed in the Exchange's rules, and it prescribes the process that an applicant must Page 4 4 follow to become an approved person.

Rule 0. Regulation of the Exchange and ETP Holders

Notwithstanding the fact that the Exchange has entered into an RSA with FINRA to perform certain of the Exchange's functions, the Exchange shall retain ultimate legal responsibility for, and control of, such functions.

Rule 394, which was renamed Rule 390 in 1977, was a New York Stock Exchange rule which barred an exchange member from executing a trade off the floor through an over-the-counter dealer.

The Securities and Exchange Commission's Rule 605 (formerly 11Ac1-5) mandates that stock exchanges, dealers, and other market centers provide selected data on selected order executions.

A stock exchange in India adheres to a set of rules and regulations directed by Securities and Exchange Board of India or SEBI. The said authoritative body functions to protect the interest of investors and aims to promote the stock market of India.

The New York Stock Exchange has two primary functions: It provides a central marketplace for investors to buy and sell stock. It enables companies to list their shares and raise capital from interested investors.

The New York Stock Exchange (NYSE, nicknamed "The Big Board") is an American stock exchange in the Financial District of Lower Manhattan in New York City. It is the largest stock exchange in the world by market capitalization.

For example, on the New York Stock Exchange (NYSE), if a security's price closed below $1.00 for 30 consecutive trading days, that exchange would initiate the delisting process.