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Zimmerman's Research Guide


New York Stock Exchange

The New York Stock Exchange (NYSE) trades the stock of the biggest public companies in the U.S. In 2006, the NYSE became "NYSE Euronext" was created by the merger of the NYSE and Euronext stock markets; it also includes the former American Stock Exchange (AmEx), the Archipelago Exchange (ArcaEx) and the London International Financial Futures and Options Exchange (Liffe). In 2014 the IntercontinentalExchange Group, which owns NYSE Euronext, spun off Euronext into an independent public corporation, and the New York Stock Exchange became just "NYSE."

The NYSE web site (www.nyse.com) provides information about the exchange, current quotes, a list of listed companies, basic listing information, basic disciplinary procedures, publications lists, etc. The NYSE sells various "data products" through nyxdata.com.

Other useful NYSE resources include the Listed Company Manual and CCH's New York Stock Exchange Guide. The Guide is available in print or on CCH's subscription-based Intelliconnect.

You can search a range of NYSE materials simultaneously on Westlaw in the NYSE Combined Materials database (NYSE).

Arbitration Decisions: NYSE arbitration decisions are searchable on Lexis (FEDSEC;NYARB) and on Westlaw (FSEC-ARB), both back to 1989. Arbitration decisions of NYSA Arca which was acquired by the NYSE in 2006) are available free online back to 2000; contact NYSE Arca for older decisions.

Disciplinary decisions of the former NYSE Hearing Panel from 1972 to 2005 are posted on the Exchange's NYSE Enforcement page with Amex disciplinary decisions (from 2009) and Arca disciplinary decisions from (2006). They are searchable on Lexis (FEDSEC;NYDISC) and on Westlaw (FINRA-DISP). The NYSE disciplinary responsibilities are now handled by FINRA; see the separate entry for the "Financial Industry Regulatory Authority (FINRA)."

Interpretation Memos or "Rule Interpretations" provide guidance in interpreting NYSE rules. They are published in the Interpretation Handbook and posted on the NYSE's Rule Interpretations page. They are searchable on Lexis (FEDSEC;NY HAND) and Westlaw (NYSE-ENTRAPMENT).

Rules: NYSE rules are posted in the Regulations section of the NYSE Web site for each exchange (NYSE, Euronext, Amex, etc.). In addition, the NYSE Constitution and Rules are available in the CCH New York Stock Exchange Guide (discussed above) and also on Lexis (FEDSEC;NYSECR) and Westlaw (NYSE-RULES).

Information memos: NYSE website provides Information Memos back to 1986. They are searchable on Lexis (FEDSEC:NY INFO).

Weekly Bulletins: The NYSE Weekly Bulletin, published from 1995 to 2007, is available on Lexis (FEDSEC;NEBULA). You can find the NYSE ARC Weekly Bulletin online from 2000.

See Also
CUSIP Numbers
Financial Industry Regulatory Authority (FINRA)
Stock Exchange Rules
Stock Exchanges
Stock Prices
Stock Splits
Stock Swaps

For comments, questions and suggestions, email the author
Copyright 2015 Andrew Zimmerman