Federal Register #SR-NYSE-2026-47

SEC Notice of NYSE Proposal to Replace Its Approved Person Registration Category

This SEC notice concerns a proposed NYSE rule change, not a government procurement opportunity. - Government agency: Securities and Exchange Commission (SEC). - Organizations named: New York Stock Exchange LLC (NYSE), which submitted the proposal, and the Financial Industry Regulatory Authority (FINRA), whose rule is referenced. - Proposed changes: Eliminate NYSE’s approved person registration category, introduce an associated person definition drawing on FINRA Rule 1011(b) and NYSE’s existing definition, and make related rule changes. - Purpose: Preserve the existing scope of NYSE jurisdiction while aligning its rules more closely with FINRA and other exchanges and reducing compliance burdens. - Procurement: No products or services are being requested; no OEMs, vendors, quantities, or part numbers are identified.

Description

The Securities and Exchange Commission notice concerns a proposed New York Stock Exchange LLC rule change. The Exchange proposes to delete the approved person registration category, adopt a new definition of associated person based on FINRA Rule 1011(b) and elements of the existing definition, and make related technical and conforming changes. The notice states that the proposal is not intended to change the scope of the Exchange’s jurisdiction. The Commission is soliciting comments on the proposed rule change through October 27, 2026.

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