Notifications to NYSE
Compliance with NYSE's Timely Disclosure Policy is separately required. If issuing material news between the hours of 7:00 am and 4:00 pm, listed companies are required to call the NYSE's Market Watch & Proxy Compliance team at least ten minutes in advance of issuance and a copy of the press release or other Reg-FD compliant method must be submitted via email to [email protected].
Section 303A Forms
EFFECTIVE APRIL 1, 2019
The Section 303A Corporate Governance Affirmations can be submitted electronically through Listing Manager, the NYSE’s fully integrated web application. Listing Manager is available for our NYSE, NYSE American, and NYSE Arca issuer community and replaces its predecessor, eGovDirect. Additional information about Listing Manager such as FAQs and training videos can be found here. If you have questions or concerns about Listing Manager, please contact us at [email protected] or +1 212 656 4651.
If unable to make the submission through Listing Manager, as an alternative, the Section 303A Corporate Governance Affirmations provided below may be submitted via email to [email protected] or [email protected] (only for Foreign Private Issuers). Questions relating to the corporate governance affirmations or NYSE corporate governance standards may be directed to +1 212 656 4542.
The below NYSE Section 303A Corporate Governance Affirmations forms are interactive. The forms must be saved to a local desktop drive before the work completed within the forms can be saved.
| Subject | Document |
|---|---|
| CEO Certification | |
| Domestic | |
| Foreign Private Issuers | |
| Closed-End Funds | |
| Special Entities |
Listing Additional Shares
EFFECTIVE APRIL 1, 2019
For a NYSE issuer to issue additional shares or effective certain other corporate changes, it must seek NYSE authorization and file a Supplemental Listing Application (“SLAP”). NYSE Supplemental Listing Applications can be submitted electronically through Listing Manager, the NYSE’s fully integrated web application. Additional information about Listing Manager such as FAQs and training videos can be found here. If you have questions or concerns about Listing Manager, please contact us at [email protected] or + 1 212 656 4651.
If unable to make the submission through Listing Manager, as an alternative, the NYSE Supplemental Listing Application provided below may be submitted via email to the Continued Listing Analyst assigned to the Issuer. Questions relating to Supplemental Listing Applications, Analyst assignments, or NYSE shareholder approval rules may be directed to +1 212 656 5846.
A generic template to the NYSE Supplemental Listing Application form can be found here. The form must be saved to a local desktop drive before the work completed within the forms can be saved.
The NYSE Supplemental Listing Application memo from the company, signed by an authorized company official providing the Exchange with relevant information relating to the transaction(s), will satisfy the Exchange's application requirements. The memo should be addressed to the Exchange and should include the following information:
- Issuer name,
- First six digits of the company's cusip number,
- Issuer's current NYSE ticker symbol,
- Description of each transaction,
- Number of shares and name of security to be issued or reserved for each transaction,
- Number of shares outstanding prior to this application (reflect treasury shares as a separate number, if any),
- Reference to documents filed or to be filed in support of the application (see 703.00),
- Reference to any other relevant public filing (i.e. Company Proxy, Prospectus, etc.). In review of the transaction(s), the Exchange may require additional information prior to authorization. The application and sufficient supporting documentation should be provided to the Exchange at least two weeks in advance of the required authorization date,
- Date of the Issuer’s board approval, and
- Indicate whether shareholder approval is required with respect to the issuance pursuant to Sections 303A.08 or 312.03 and, if required, the date such shareholder approval was obtained.
Guidance
Annual Letters
| Date | Subject |
|---|---|
| 01.31.24 |
Blast Emails
| Date | Subject |
|---|---|
| 05.02.24 | |
| 10.12.23 | |
| 09.08.23 | |
| 01.24.19 | |
| 03.15.18 | |
| 01.30.18 | |
| 12.07.17 | |
| 09.11.17 | |
| 08.18.17 | |
| 07.31.17 | |
| 04.22.16 | |
| 02.22.16 | |
| 10.15.15 | |
| 09.22.15 | |
| 11.18.14 |
Topics of Interest
| Date | Subject |
|---|---|
| 03.05.15 |
NYSE Interpretative Material
Visit the Listing section of the NYSE website to find resources for companies seeking to list, including company manuals, listing standards, and listing fees.
Rules
NYSE Arca Equities 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.
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.
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.
Rules
NYSE Arca Equities 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.
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.
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.
Guidance and Rule Interpretations
NYSE Regulation welcomes information from investors and others who believe that a member firm or individual broker may have violated securities rules and regulations. Inquiries can also be sent through this system.
Complaints and Inquiries
NYSE Regulation welcomes information from investors and others who believe that a member firm or individual broker may have violated securities rules and regulations. Inquiries can also be sent through this system.
Governing Documents, Related Information and NMS Plans
Guidance and Rule Interpretations
NYSE Regulation welcomes information from investors and others who believe that a member firm or individual broker may have violated securities rules and regulations. Inquiries can also be sent through this system.
Complaints and Inquiries
NYSE Regulation welcomes information from investors and others who believe that a member firm or individual broker may have violated securities rules and regulations. Inquiries can also be sent through this system.