Nyse American Listing Rules

The following links contain the documents necessary to prepare an original application for listing on the New York Stock Exchange. The first step in the application process is to contact the NYSE to request a confidential eligibility check. A company should not file an original application until the NYSE has provided a letter of release of eligibility and registration requirements. The NYSE publishes two lists of issues that must be delisted from the exchange: Alternatively, if the submission cannot be made through the listing manager, the listing documents can be submitted by email to [email protected]. Below are generic templates for the NYSE Arca listing app, listing agreement, and SLAP. NYSE – the global listing location for mid- and large-cap companies in all sectors Certain transactions require the company to submit an additional or substitute listing request, including: Companies must meet minimum listing requirements that include certain financial liquidity and corporate governance criteria. NYSE American also reserves the right to reject an application if it believes it is necessary to protect investors, even if all technical requirements are met. Typically, the NYSE American would reject an application due to the nature of the company`s business, regulatory history and future projections, and management`s reputation. NYSE Arca Equities regularly publishes interpretive advice regarding SEC and exchange rules. This guide includes briefing notes, weekly newsletters, policy implementation notices, rule interpretations, rule changes, educational bulletins and regulatory bulletins. When the decision is made to terminate the registration authority. Nyse Regulation welcomes information from investors and others who believe that a member company or individual dealer may have violated securities rules and regulations.

Requests can also be sent through this system. The four-step process for submitting an application to the New York Stock Exchange is described below. Once you have completed and submitted your application, a member of our NYSE Listings team will review your information and contact you within 14 business days. Once your request is accepted, we will assign your company a dedicated list specialist to help you go through every step of the process to the exchange. Alternatively, if the submission cannot be made through the listing manager, the request for additional listing on the New York Stock Exchange listed below may be submitted by email to the continuous listing analyst assigned to the issuer. Questions regarding additional listing requests, analyst assignments, or NYSE shareholder approval rules can be directed to +1 212 656 5846. There are four basic steps in the additional registration process: If you would like to help you get started with your listing on the NYSE American, please fill out this form below. The NYSE American is a specific level of the NYSE with its own listing requirements. The NYSE American was previously known as the American Stock Exchange (AMEX) until the New York Stock Exchange bought AMEX in its entirety in 2008. NASADAQ and NYSE American are essentially companies competing for attention and publicly traded companies.

The NYSE American says that choosing its stock exchange increases a company`s access to dedicated funding, offers more opportunities for advocacy and networking. While any exchange is subject to SEC regulation, there are also specific rules that apply to each exchange. Visit the registration section of the NYSE website to find resources for companies looking to register, including business manuals, registration standards, and registration fees. The market entry fee based on the total number of shares outstanding at the time of initial registration includes a non-refundable application fee. Entry fees are due before the first day of trading. As one of the most prestigious exchanges on which it is listed, the NYSE American offers its corporate clients many opportunities that are not found anywhere else. To obtain an initial listing, companies must meet one of the following standards: Your DMM facilitates your share price during market openings, closures, and periods of significant trade imbalances or instability. Once you have contacted our Ads team about a DMM, we will send you a list of all eligible DMMs and their contact information.

The NYSE American COTation process is a streamlined process designed to help companies that qualify to be listed as easily and painlessly as possible. The initial listing fee for eligible companies is as follows: If you have any questions about listing additional shares on the NYSE American, please call +1 212 656 5846 If you are listing securities on the NYSE, NYSE American or NYSE Arca for the first time, please contact us for more information about the process. We will answer all your questions, provide you with a confidential eligibility check and help you find the appropriate forms to submit. Exchange-initiated write-offA problem is added to this list when the exchange files a Form 25 with the SEC and remains public until the request to delist the issue takes effect with the SEC (typically 10 days). Alternatively, if you are unable to submit through the listing manager, the NYSE US Corporate Governance Statement listed below can be emailed to [email protected]. Questions related to NYSE American corporate governance statements or corporate governance standards can be directed to +1 212 656 4542. Below is a summary of the exchange disclosure guidelines: Companies must also meet one of the following standards: Completed certifications must be submitted within 30 days of their annual meeting. Forms 20-F, 40-F and 6-K and their amendments (1934 Act) For more information, see 2.5.15 Corporate Governance: Certification Requirements. Change in the number of outstanding warrants (for which securities traded primarily in the United States represent 25% or more of the value of the underlying index) If the deposit cannot be made through the listing manager, the corporate governance assertions listed below under section 303A may be emailed to the initial listing analyst who will review the original listing application. . .

. Any outstanding proposed rule changes, called 19b-4 filings, filed by the NYSE with the SEC. Filings 19b-4 relate to proposed changes to the rules of the New York Stock Exchange and federal securities laws. The NYSE will contact you in 14 stores to let you know if your request has been accepted. . A company that owns a security listed on the New York Stock Exchange must file all required filings with the Securities and Exchange Commission (SEC) (or any other appropriate regulatory authority) in a timely manner, and must also file copies with the exchange. With the exception of annual reports to shareholders, which must be filed with the exchange in paper form, a company has met this requirement when it submits its filings electronically to the SEC through EDGAR. NYSE – Interim Closed-End Investment Company Corporate Governance Affirmation Statements written under Section 810 may be submitted electronically by email to [email protected].

Questions can be directed to +1 212 656 4542. A company listed on the New York Stock Exchange is required to disclose and make available to its shareholders (or holders of other publicly traded securities if its common shares are not listed on the national stock exchange) an annual report of audited financial statements prepared in accordance with the requirements of the SEC. The Company shall disclose in its annual report to securityholders for the year covered by the report: (a) the number of non-optional shares available for the grant of options under an option plan at the beginning and end of the year; and (b) any change in the exercise price of any outstanding option, by cancellation and reissue or otherwise, with the exception of price changes resulting from the normal operation of the anti-dilution supply of options. Three copies of the report must be submitted for exchange. The following organizations offer materials and courses for director training: The NYSE American offers investor relations, broker-dealer networking, and marketing services, and uses the Designated Market Maker (DMM) model. In this model, a DMM is assigned to each title, and then manual and electronic methods are used to create a stable market price. The DMM is also used to create an auction model where all bids are registered on the market and an opening price of the awarded securities is set each day. The DMM essentially acts as an intermediary between the broker and market participants and the execution of trades and generally increases the volume of trades. Compliance with the NYSE`s Timely Disclosure Policy is required separately.

If important news is released between 7:00 a.m.m. and 4:00 p.m.m., publicly traded companies must call the NYSE Market Watch & Proxy Compliance team at least ten minutes prior to issuance, and a copy of the press release or other Reg-FD-compliant method must be emailed to [email protected]. Right away. Call the Corporate Actions & Market Watch Group at 877.NYX. ALRT (+1 877 699 2578 or +1 212 656 5414) and send a copy of the press release by email to [email protected]. The NYSE American believes that conducting a fair and orderly market requires any publicly traded company to provide the public with the information necessary for informed investment and to take reasonable steps to ensure that all those who invest in its securities have equal access to that information. . At least ten days before the detection date is required. The notification must be sent immediately by e-mail to [email protected] or [email protected]. Companies listed on the NYSE American are subject to various reporting requirements. Below is a guide to submitting requirements, annual reports and disseminating news. .

Colonial provides professional and expert consulting services to help you solve your most complex problems. . The most recent and pending changes to corporate governance rules can be found in the Rule Submissions section of this website. .