# 2026-10835: NYSE Arca Matches FINRA Investigation and Penalty Rules

2026-10835, Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change of Amendments to Rule 10.8000 and Rule 10.9000 Series, is a Federal Register notice from Securities and Exchange Commission published 2026-06-01, effective 2026-05-19; PRIA reads it as touching household money (as of 2026-06-08).

- Canonical: https://policyrisk.com/federal-register/2026-10835
- As of: 2026-06-08
- Plain-text twin of the page above; the HTML and this file carry the same facts.

## Facts
- Document number: 2026-10835
- Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change of Amendments to Rule 10.8000 and Rule 10.9000 Series
- Type: Notice
- Agencies: Securities and Exchange Commission
- Citation: 91 FR 32478
- Published: 2026-06-01
- Effective: 2026-05-19
- Comments close: not stated
- Significant: no
- Touches household money: yes
- Regulation identifier numbers: none
- Last updated: 2026-06-08

## In one line

NYSE Arca Matches FINRA Investigation and Penalty Rules

## Summary

NYSE Arca is updating its rules to match recent changes made by FINRA, the group that helps keep the stock market fair. These updates affect how investigations and punishments for members are handled, especially giving the SEC more time to review certain decisions. The changes take effect right away and aim to keep things smooth and fair for everyone involved.

## Effects PRIA read

- Expulsions Paused Pending SEC Review: benefit, high. If you are an ETP Holder, OTP Holder, OTP Firm, or other Exchange member, an expulsion, cancellation of membership, or denial of continued membership will not become effective until the time to file for SEC review has passed (the filing period referenced is 30 days) and no application is filed, or,…
- Five Business-Day Delay Before Suspension: benefit, medium. Under expedited Rule 10.9557 notices, if a member fails to comply with imposed requirements or restrictions, a notice of suspension will be effective five business days after service of that notice. The notice must state when the Exchange action will take effect and explain what the member must do…
- Default Decisions Can Trigger Immediate Bars: cost, high. If a firm or person defaults in a proceeding, a bar or expulsion specified in a default decision becomes effective immediately upon that default decision becoming the final disciplinary action of the Exchange. Other sanctions in default decisions (not bars or expulsions) will become effective on a…
- Adjudicators May Allow Time to Seek SEC Stay: benefit, medium. Exchange rules now give staff and adjudicators explicit authority to specify that certain sanctions or regulatory measures (for example, suspensions, bars, or cease-and-desist orders) will not be effective immediately and to afford respondents an opportunity to seek a stay from the SEC or take othe…

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## Sources
- [2026-10835 on federalregister.gov](https://www.federalregister.gov/documents/2026/06/01/2026-10835/self-regulatory-organizations-nyse-arca-inc-notice-of-filing-and-immediate-effectiveness-of-proposed)
- [2026-10835 as published (PDF)](https://www.govinfo.gov/content/pkg/FR-2026-06-01/pdf/2026-10835.pdf)

## Related
- [Previous: 2026-10834, Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediat…](https://policyrisk.com/federal-register/2026-10834)
- [Next: 2026-10836, Self-Regulatory Organizations; National Securities Clearing Corporation; Order…](https://policyrisk.com/federal-register/2026-10836)
- [All Federal Register documents](https://policyrisk.com/federal-register)

Source: PRIA, https://policyrisk.com/federal-register/2026-10835 (as of 2026-06-08).