US Rules Archive
When planning for a compliance examination, responding to exam findings, or preparing
for arbitration or other litigation, a current copy of the rules is not enough. The US Rule
Archives from Wolters Kluwer Financial Services were created to help compliance staff
bridge that gap.
Research exchange rules in 10 archives
Archives updated quarterly
- NASD (now known as FINRA) Manual Archive. Membership lists, activities, rules for
fair practice, bylaws, code of procedure, uniform practice code, related NASD rules,
and pertinent SEC controls for the NASD.
- NYSE Manual Archive. Full-text version of the constitution, rules, and policies of the
New York Stock Exchange. Also, names and contact information for the members,
member organisations, officers, and personnel of the Exchange.
- American Stock Exchange Manual Archive. A full listing of securities traded on the
AMEX, as well as the AMEX Company Guide, which details the listing and delisting
policies of the Exchange.
Archives updated annually
- NYSE Arca (formerly known as Pacific Stock Exchange) Manual Archive. The
official, full-text version of the constitution, the rules of the Board of Governors, and
the complete policies of the NYSE Arca. Also, the names of all corporations with stock
issues and/or bonds listed on the Exchange, as well as any pertinent information
concerning the individual stock or bond issues.
- Boston Stock Exchange Guide Archive. Directory, constitution, rules, and policies
of the Exchange and the Boston Stock Exchange Clearing Corporation. Plus, full-text
versions of the constitution and rules and the names and pertinent data of all
corporations whose stock issues have been admitted to trading on the Exchange.
- Chicago Board Options Exchange Manual Archive. Exchange directory, constitution,
rules, and policies. Access to names and contact information for Exchange members,
member organisations, officers, and personnel. Regular monthly updates on current
trends and developments.
- Chicago Stock Exchange Manual Archive. Comprehensive information, including
Exchange directory, certificate of incorporation, constitution, rules, and policies.
- Municipal Securities Rulemaking Board Manual Archive. Complete information
concerning the regulations and requirements that govern the conduct of a municipal
securities business, plus listings of board members, professional staff, and more.
- NASDAQ Manual Archive. Complete bylaws, rules, and policies governing the day-to-
day, as well as the regulatory activities of the Exchange and its members. Frequent
updates and Reports Letters highlight significant new developments.
- Philadelphia Stock Exchange Archive. Bylaws, rules, rules of the Board of Governors,
options rules, ITS rules, and policies of the Stock Clearing Corporation of Philadelphia
and the Philadelphia Depository Trust Company. Also, a complete directory of all
corporations with stock issues and/or bonds listed on the Exchange, as well as
pertinent information concerning the individual stock or bond issues.
For more information, call 0800 840 1160 or email UKsales@wolterskluwer.com.
