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Zimmerman's Research Guide


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Stock Exchanges

In the U.S., public company stock trades on several stock exchanges (a/k/a "stock markets"), including the New York Stock Exchange (NYSE Euronext), the NASDAQ and the National Stock Exchange (NSX) and the Chicago Stock Exchange (CHX). There was another big player called the American Stock Exchange (AMEX), which merged into NYSE Euronext on January 16, 2009. The formerly independent Philadelphia and Boston stock exchanges are now part of NASDAQ. But there are also significant new exchanges. As of 2011, the BATS Exchange and Direct Edge each handled about 10% of the trading volume in the U.S.

Exchange web sites provide current quotes and information about using the exchange (e.g., nyse.com, nyxdata.com, nasdaq.com, nsx.com, chx.com, directedge.com, batstrading.com). For more information about each exchange, see the New York Stock Exchange Listed Company Manual and/or the relevant CCH "Guide" (e.g., the New York Stock Exchange Guide, the NASDAQ Manual, the New York Stock Exchange Guide).

Rules: See the separate entry for Stock Exchange Rules.

Disciplinary Decisions: Disciplinary decisions for individual exchanges are generally available on the exchange's Web site, on the FINRA Web site, and/or on Lexis and Westlaw. Westlaw offers a combined database of decisions from the NYSE Hearing Panel, the AMEX Disciplinary Panel and the NASD National Adjudicatory Council (formerly the National Business Conduct Committee).

Foreign Exchanges: Links to foreign stock exchange Web sites are posted by Stock Exchanges Worldwide and the Rutgers University Libraries. Note: Many foreign stock exchanges have offices in the New York City; you can generally get the number from the exchange web site, or call NYC directory assistance (411 in NYC, otherwise 212-555-1212).

CCH publishes Guides for the Canadian exchanges, the China exchange and probably others.

Rules: See the separate entry for "Stock Exchange Rules."


See Also
CUSIP Numbers
Listing Applications
NASDAQ
New York Stock Exchange
Over-the-Counter Stocks
Stock Exchange Rules
Stock Prices
Stock Splits
Stock Swaps

For comments, questions and suggestions, email the author
Copyright 2014 Andrew Zimmerman