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Application for NYSE and NYSE MKT Equity1 Membership for Non-FINRA Members

Application for NYSE and NYSE MKT Equity1 Membership for Non-FINRA Members 2025

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The document is an application form for NYSE and NYSE MKT equity membership specifically designed for registered brokers or dealers that are not members of FINRA. It outlines eligibility criteria, application processes, required documentation, and associated fees for different types of firms. The document emphasizes the need for compliance with NYSE rules and federal securities laws, detailing the responsibilities of applicant firms and the review process by the Exchange and FINRA.

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How does one become a member of the NYSE?

Membership is available to SEC registered broker-dealers who have obtained a self-regulatory organization (SRO) and have an established connection to a clearing firm. Individual investors are not eligible.

How does a company get on the NYSE?

An IPO is the most common way that companies choose to join the public markets in order to raise capital and establish a currency for investing in innovation, growth, acquisitions and employees.

What are the requirements for NYSE?

NYSE Listing Requirements Distribution Standards Rule 102.01A-BIPOs, Spin-offs, Carve-outsTransfer or Quotation Shareholders 400 round lot 500 round lot Publicly held shares 1.1 million 1.1 million Market Value of Publicly Held Shares $40 million $100 million Minimum Share Price $4.00 $4.001 more row

How do I open an account with NYSE?

Forms for Firms NYSE Membership Application. Application for Market Maker Registration. Master User Agreement. NYSE Authorized Trader Form. AP Form. Equities Clearing Letter of Consent. Application for Individual Registration and Non-Registered Associated Person (NRF) Designation.

Can anyone enter NYSE?

After September 11, 2001, visitors are not allowed to visit the exchange but may tour the exterior and start their tour of the Financial Districts landmarks including the Federal Reserve Bank, National Museum of the American Indian/U.S. Customs House, Museum of American Finance, the Fraunces Tavern Museum, and the

What are the requirements for NYSE registration?

A company seeking to list existing securities or transfer to the NYSE must have at least 1.1 million publicly held shares and meet one of the following three criteria: Have at least 400 holders of 100 shares or more and an average monthly trading volume of at least 100,000 shares for the most recent six months.

How long can a stock stay below $1 on NYSE?

NYSE Rule Changes The NYSE has also instituted similar changes to its compliance rules, which were approved by the SEC on January 15, 2025. Previously, if a companys shares fell below an average closing price of $1.00 over 30 trading days, the company had six months to cure the defect.

Application for NYSE and NYSE MKT Equity1 Membership for Non-FINRA Members 2025

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