Federal Register #SR-NYSE-2026-16

SEC Notice: Proposed Amendments to NYSE Rules 8000 and 9000 (Disciplinary Procedures)

This notice announces the SEC's publication of a proposed rule change by the New York Stock Exchange LLC (NYSE) regarding amendments to its Rules 8000 and 9000. - Government Buyer: - Securities and Exchange Commission (SEC) - OEMs and Vendors: - New York Stock Exchange LLC (NYSE) is the only entity mentioned - Products/Services Requested: - No products or services are being procured; this is a regulatory notice - Key Details: - The amendments address disciplinary procedures and governance frameworks for NYSE member organizations - The changes are designed to harmonize NYSE rules with recent updates from FINRA - The proposal is effective upon filing and does not significantly impact investor protection or competition - The SEC is soliciting public comments on the consistency of the proposed rule change with the Securities Exchange Act - Unique Requirements: - Focus on regulatory alignment and fair disciplinary procedures, not procurement of goods or services

Description

This notice announces the Securities and Exchange Commission's receipt and immediate effectiveness of proposed amendments to Rules 8000 and 9000 filed by the New York Stock Exchange LLC. The amendments relate to disciplinary procedures and governance frameworks, harmonizing NYSE rules with recent FINRA changes to provide fair procedures for disciplining member organizations. The proposal does not significantly affect investor protection or competition and is effective upon filing. Public comments are solicited regarding the consistency of the proposal with the Securities Exchange Act.

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