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About the Listed Company Manual

The New York Stock Exchange Listed Company Manual is the comprehensive rulebook for listed companies. The Manual also details original and continued listing requirements of the Exchange and sets forth NYSE rules and policies on such matters as corporate governance, shareholder communications, and shareholder approval.

What's New

* Listed Company Manual rule changes approved from July 2009 through the present are listed below.

Sections

  Section 102.01C - A company must meet one of the following financial standards (approved September 30, 2014)
  Section 102.01C - A company must meet one of the following financial standards (approved August 15, 2013)
  Section 102.07 - Minimum Numerical Standards—Equity Investment Tracking Stocks (approved June 24, 2016)
  Section 103.00 - Foreign Private Issuers (approved February 19, 2016)
  Section 103.01B - A company must meet one of the following financial standards (approved August 15, 2013)
  Section 103.04 - Sponsored American Depository Receipts or Shares ("ADRs") (approved August 15, 2013)
  Section 104.00 - Confidential Review of Eligibility (approved August 15, 2013)
  Section 104.01 - Domestic Companies (approved August 15, 2013)
  Section 104.02 - Non-U.S. Companies (approved August 15, 2013)
  Section 106.02 - Designated Market Maker ("DMM") Allocation (approved December 8, 2015)
  Section 106.03 - Original Listing Ceremonies (approved December 8, 2015)
  Section 107.00 - Financial Disclosure and Exchange Information Requests (approved September 10, 2014)
  Section 202.03 - Dealing with Rumors or Unusual Market Activity (approved September 2, 2015)
  Section 202.04 - Exchange Market Surveillance (approved September 2, 2015)
  Section 202.06 - Procedure for Public Release of Information; Trading Halts (approved June 24, 2016)
  Section 203.03 - Semi-Annual Reporting by Foreign Private Issuers (approved February 19, 2016)
  Section 204.00 - Notice to and Filings with the Exchange (approved August 15, 2013)
  Section 204.04 - Business Purpose Changed (approved August 15, 2013)
  Section 204.13 - Form or Nature of Listed Securities Changed (approved August 15, 2013)
  Section 204.18 - Name Change (approved August 15, 2013)
  Section 204.23 - Rights or Privileges of Listed Security Changed (approved August 15, 2013)
  Section 303A.00 - Corporate Governance Standards (approved August 22, 2013)
  Section 303A.02 - Corporate Governance Standards (approved January 11, 2013)
  Section 303A.05 - Corporate Governance Standards (approved January 11, 2013)
  Section 303A.07 - Audit Committee Additional Requirements (approved August 22, 2013)
  Section 311.01 - Publicity and Notice to the Exchange of Redemption (approved August 15, 2013)
  Section 312.03 - Shareholder Approval (approved December 31, 2015)
  Section 312.04 - For the Purpose of Section 312.03 (approved December 31, 2015)
  Section 312.07 - Where Shareholder (approved July 11, 2013)
  Section 402.05 - Solicitation of Proxies through Member Organizations (approved February 18, 2015)
  Section 402.09 - Exchange Proxy Contest Rules (approved December 8, 2015)
  Section 402.10 - Charges by Member Organizations for Distributing Material (approved January 9, 2014)
  Section 501.01 - Stock Certificates (approved August 15, 2013)
  Section 601.00 - Services to be Provided by Transfer Agents and Registrars (approved January 11, 2013)
  Section 601.01 - Exchange Approval of Transfer Agents and Registrars (approved August 15, 2013)
  Section 702.00 - Original Listing Application for Securities of an Issuer Which Does Not at the Time of Application Have any Other Securities Listed on the Exchange (approved August 15, 2013)
  Section 703.00 - Subsequent Listing Applications and Debt Securities Applications (approved August 15, 2013)
  Section 802.01A - Distribution Criteria for Capital or Common Stock (including Equity Investment Tracking Stock) (approved June 24, 2016)
  Section 802.01B - Numerical Criteria for Capital or Common Stock (including Equity Investment Tracking Stock) (approved June 24, 2016)
  Section 802.01E - SEC Annual and Quarterly Report Timely Filing Criteria (approved February 19, 2016)
  Section 804.00 - Procedure for Delisting (approved May 28, 2015)
  Section 806.01 - Change of DMM Unit upon Request of Company (approved December 8, 2015)
  Section 902.02 - General Information on Fees (approved June 24, 2016)
  Section 902.03 - Fees for Listed Securities (approved October 8, 2015)
  Section 902.04 - Fees for Listing Securities of Closed-End Funds (approved October 8, 2015)
  Section 902.05 - Fees for Listed Structured Products (approved October 8, 2015)
  Section 902.06 - Listing Fees for Short-Term Securities (approved October 8, 2015)
  Section 904.00 - Other Forms (approved August 15, 2013)
  Section 905.02 - Sending Signed Proxies to Customers When Proxy Contains No Proposals to be Voted On (approved February 7, 2011)
  Section 905.03 - Requesting Customer Instructions When Broker May Vote on Certain But Not All of the Proposals Without Instructions (approved February 7, 2011)
  Section 907.00 - Products and Services Available to Issuers (approved June 24, 2016)
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