# 2026-19634: NYSE Tweaks Broker Registration to Sync with FINRA: Zzz Alert

2026-19634, Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Rule 1210, is a Federal Register notice from Securities and Exchange Commission published 2026-09-25, effective 2026-09-10; PRIA reads it as touching household money (as of 2026-10-02).

- Canonical: https://policyrisk.com/federal-register/2026-19634
- As of: 2026-10-02
- Plain-text twin of the page above; the HTML and this file carry the same facts.

## Facts
- Document number: 2026-19634
- Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Rule 1210
- Type: Notice
- Agencies: Securities and Exchange Commission
- Citation: 91 FR 61000
- Published: 2026-09-25
- Effective: 2026-09-10
- Comments close: not stated
- Significant: no
- Touches household money: yes
- Regulation identifier numbers: none
- Last updated: 2026-10-02

## In one line

NYSE Tweaks Broker Registration to Sync with FINRA: Zzz Alert

## Summary

The New York Stock Exchange (NYSE) is updating its rule about who needs to register as a member organization, matching changes recently made by FINRA. This affects brokers and dealers who work with the NYSE, making sure their registration rules are clear and consistent. The change is effective immediately, so members should review the new rule to stay compliant without any extra costs.

## Effects PRIA read

- Shorter exam retake waiting periods: benefit, low. If you take NYSE/FINRA qualification exams to register as a representative or principal, the waiting period to retake an exam is reduced: it is now 15 calendar days after the first and second failed attempts, and 60 calendar days after the third and any subsequent failed attempts within a two-year…
- Quicker personnel decisions for member firms: benefit, low. If you run or manage an NYSE member organization (a registered broker-dealer), the Exchange says the shorter retake waiting periods (15 days after first/second failures; 60 days after third+ failures within two years) may allow firms to make personnel and qualification decisions more quickly. The f…

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## Sources
- [2026-19634 on federalregister.gov](https://www.federalregister.gov/documents/2026/09/25/2026-19634/self-regulatory-organizations-new-york-stock-exchange-llc-notice-of-filing-and-immediate)
- [2026-19634 as published (PDF)](https://www.govinfo.gov/content/pkg/FR-2026-09-25/pdf/2026-19634.pdf)

## Related
- [Previous: 2026-19633, Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immedi…](https://policyrisk.com/federal-register/2026-19633)
- [Next: 2026-19635, Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediat…](https://policyrisk.com/federal-register/2026-19635)
- [All Federal Register documents](https://policyrisk.com/federal-register)

Source: PRIA, https://policyrisk.com/federal-register/2026-19634 (as of 2026-10-02).