About the NYSE Rules

What's New

NYSE Rules

General Rules

  Rule 2 - "Member," "Membership," "Member Firm," etc.

  Rule 21 - Disqualification of Directors on Listing of Securities

  Rule 22 - Disqualification Because of Personal Interest

Dealings and Settlements

  Rule 91 - Taking or Supplying Securities Named in Order

  Rule 96 - Limitation on Members' Trading Because of Options

  Rule 98A - Restrictions on Persons or Parties Affiliated with a DMM Unit

  Rule 112 - Orders Initiated "Off the Floor"

Admission of Members

  Rule 304 - Approved Persons

  Rule 304A - Member Examination Requirements

  Rule 308 - Acceptability Proceedings

  Rule 311 - Formation and Approval of Member Organizations

Operation of Member Organizations

  Rule 402 - Customer Protection—Reserves and Custody of Securities

  Rule 410A - Automated Submission of Trading Data

  Rule 422 - Loans of and to Directors, etc.

  Rule 460 - DMMs Participating in Contests

Disciplinary Rules

  Rule 476A - Imposition of Fines for Minor Violation(s) of Rules

Gold Shares

  Rule 1301 - streetTRACKS® Gold Shares: Securities Accounts and Orders of DMMs

Conduct Rules

  Rule 5320 - Prohibition Against Trading Ahead of Customer Orders