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NYSE AMEX Rules

    Specialized Rules

    • There are hundreds of NYSE Amex Rules that are divided into several specialized divisions: the General and Floor Rules, the Office Rules, the Arbitration Rules, the Rules on Contracts in Securities, the NYSE Alternext Equities Rules, the Trading of Option Contracts Rules, the Trading of Certain Equity Derivatives Rules, the Trading of Stock Index and Currency Warrants Rules, the Trading of Trust Issued Receipts Rules, the Rules for After-Hours Trading Facility, the Trading of Paired Trust Shares Rules, the Trading of Partnership Units Rules, the Trading of Trust Units Rules, and the Auction and Electronic Market Integration (AEMI) Rules.

    General and Floor Rules

    • The General and Floor Rules deal with the general expectations of the conduct of members and member organizations of the NYSE Amex, located at 86 Trinity Place in New York City, New York. The purpose of these rules was to ensure that the markets were run smoothly and that the conduct of the members and member organizations would not negatively affect the general public's view of the markets.

    Office Rules

    • The Office Rules are directives on how members and member organizations are to conduct the administration of their office spaces in accordance with Securities and Exchange Commission (SEC) Rule 15c3-1(e).

    Arbitration Rules

    • The Arbitration Rules set out the procedures whereby members and member organizations can resolve any disputes that they may have between each other pursuant to the FINRA Code of Arbitration Procedure.

    Rules on Contracts in Securities

    • The Rules on Contracts in Securities create a policy that requires member organizations who have been designated by the SEC as registered clearing agencies to establish a process that mandates that they actually clear all of the paperwork done by members who are not affiliated with a registered clearing agency.

    NYSE Alternext Equities Rules

    • NYSE Euronext is a global system of exchanges. The NYSE Alternext Equities Rules govern one independent aspect of that system which is known as the NYSE Amex Equities Trading Systems. These rules combine both NYSE Amex Equities Rules and non-NYSE Amex Equities Rules.

    Various Other Trading Rules

    • The various trading rules cover such things are option contracts, certain equity derivatives, stock index and current warrants, trust-issued receipts, after-hours trading facilities, paired trust shares, partnership units and trust units.

    AEMI Rules

    • AEMI Rules regulate yet another independent system within NYSE Euronext.

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