Federal Register #SR-NYSENAT-2026-13

SEC Notice: NYSE National, Inc. Rule Amendments (No Procurement)

This notice announces the SEC's publication of NYSE National, Inc.'s amendments to its disciplinary rules, with no procurement activity involved. - Government Buyer: - Securities and Exchange Commission (SEC) - Organizations Mentioned: - NYSE National, Inc. - Financial Industry Regulatory Authority (FINRA) - Products/Services Requested: - No products or services are being procured or awarded - Notable Requirements: - Amendments harmonize NYSE National's disciplinary rules with recent FINRA changes - New authority for adjudicators to grant stays before sanctions take effect - Clarifies Board review and expedited proceeding procedures - No OEMs or vendors are involved in this notice - No contract value, line items, or period of performance specified

Description

This notice announces amendments to the disciplinary rules of NYSE National, Inc., specifically to the Rule 10.8000 and Rule 10.9000 Series. The amendments aim to harmonize the Exchange's disciplinary rules with recent changes to the Financial Industry Regulatory Authority (FINRA) rules, providing authority to grant respondents opportunities to seek stays from the SEC before sanctions take effect. The rule changes include provisions related to cease and desist orders, suspension procedures, and Board review processes. The filing was made with immediate effectiveness and is published by the Securities and Exchange Commission.

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