Exchange Traded Products
NYSE Regulation oversees many different types of Exchange Traded Products that are listed on NYSE, NYSE Arca and NYSE Texas. Learn more about NYSE Regulation’s oversight programs for these common ETP types.
Exchange Traded Funds ("ETFs")
ETFs are funds issued by investment companies to passively track a specified index or to actively seek a certain objective.
Exchange Traded Notes ("ETNs")
ETNs are debt securities issued by corporations to provide an investment outcome based on a specified index or strategy.
Product Specific Approvals
Certain types of ETPs require the issuer to go through an approval process with the SEC prior to listing.
General Requirements
- Must meet the Exchange’s initial and ongoing requirements
- Must be eligible to be issued under Rule 6c-11 of the 1940 Act
- Websites must contain certain information, including:
- NAV & Closing Price
- Premium/Discount History
- Disclosed Portfolio
- Must adhere to Immediate Release Policy
- Must notify NYSE Regulation of any non-compliance
- Must be compliant with Rule 10A-3 of the 1934 Act
- Must have independent audit committee
An issuer that does not have any ETFs listed on a particular NYSE Exchange must submit an Initial Listing Application, Listing Agreement, and certain other documents prior to listing an ETF on that Exchange.
Once an ETF issuer has one or more ETFs listed on an NYSE Exchange, it may list additional funds using the shorter Supplemental Listing Application.
Specific application forms are available via Listing Manager, NYSE's fully integrated web reporting portal.
- Must meet the Exchange’s initial and ongoing requirements, including:
- The ETN Issuer must have sufficient net worth and total assets
- The underlying Index or Reference Asset must meet specified criteria
- The value of the underlying Index or Reference Asset must be made available
- The ETN must meet minimum market value criteria
- Must be compliant with Rule 10A-3 of the 1934 Act
- Must have independent audit committee
An issuer that does not have any ETFs listed on a particular NYSE Exchange must submit an Initial Listing Application, Listing Agreement, and certain other documents prior to listing an ETF on that Exchange.
Once an ETF issuer has one or more ETFs listed on an NYSE Exchange, it may list additional funds using the shorter Supplemental Listing Application.
Specific application forms are available via Listing Manager, NYSE's fully integrated web reporting portal.
- SEC approval is required for certain types of ETPs to be listed and traded on NYSE Exchanges.
- The Exchage works with the issuer to submit a filing to the SEC that is specifically tailored to the ETP. This filing will describe the ETP and will set forth the requirements that the ETP must meet to initially list and to maintain its listing.
- ETPs approved under product-specific filings include:
- Non-transparent ETFs
- Semi-transparent ETFs
- Certain commodity-related ETPs
Specific application forms are available via Listing Manager, NYSE's fully integrated web reporting portal.
Rules
Annual Guidance Memos
| Date | Subject |
|---|---|
| 2026-01-22 | |
| 2025-01-30 |
Listing Manager
Listing Manager is a fully integrated web application for prospective and listed issuers. It facilitates the electronic submission of initial and supplemental listing applications, corporate governance affirmations, material news disclosures, shareholder meeting information, and other compliance-related documents.
For questions about access or technical issues, please contact the Listing Manager team at [email protected] or +1 212-656-4651. Additional FAQs and tutorial videos can be found here.