NYSE National Revives Lost 2018 Rules After Oversight Oops
Published Date: 3/4/2025
Notice
Summary
NYSE National is bringing back a set of rules from 2018 that help members appeal decisions they don’t agree with, like losing their trading privileges. This change affects traders and firms on the exchange and takes effect immediately, making the process clearer and fairer without any new fees. The SEC is open to feedback for the next 60 days, so everyone has a chance to weigh in.
Analyzed Economic Effects
1 provisions identified: 1 benefits, 0 costs, 0 mixed.
Reinstates Exchange Appeal Process
The NYSE National filed a new Rule 10.7000 Series on February 18, 2025 to restore rules governing review and appeal of adverse actions (for example, losing trading privileges) that were inadvertently deleted in 2018. The change takes effect immediately, applies to exchange members and ETP Holders (traders and firms), and is implemented with no new fees; the SEC is accepting comments for 60 days through March 25, 2025.
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