4 Jun 2025
📈NYSE Rule 4530 Proposed Change
Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt NYSE Rule 4530
Summary
The Securities and Exchange Commission has published a notice regarding the proposed adoption of NYSE Rule 4530, which establishes new reporting requirements for member organizations. This rule includes mandates for reporting specified events and customer complaints, aimed at enhancing regulatory compliance and harmonization among exchanges. The proposed rule change is open for public comment before its implementation.
Agencies
- Securities and Exchange Commission
Business Impact
$$ - Med
The proposed adoption of NYSE Rule 4530 introduces new reporting requirements for businesses operating as ETP Holders, mandating prompt reporting of specified events and statistics. This change is crucial for compliance with new regulatory standards, impacting operational and reporting processes for affected firms.