US Exchange Rulebooks
The first choice of Market professionals around the world, Wolters Kluwer Financial Services provides the industry’s largest and most complete selection of exchange and self-regulatory organisation rulebooks and references—in print and online. With official rules, policies, constitutions, member directories and more, these authoritative, up-to-date guides are an indispensable reference library for you and your business.
American Stock Exchange Guide
- Full text of the constitution of the American Stock Exchange and the rules and policies of the Board of Governors.
- Provides full directory, with list of names, addresses, and other information relating to member and member organisations of the Exchange, as well as information on officers, governors, and personnel of the Exchange and its subsidiary companies.
- Offers 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.
Boston Stock Exchange Guide
- Represents the official publication, offering the directory, constitution, rules, and policies of the Exchange and the Boston Stock Exchange Clearing Corporation.
- Provides full-text versions of the constitution and rules.
- Includes the names of all corporations whose stock issues have been admitted to trading on the Exchange, with pertinent data.
Chicago Board Options Exchange Guide
- Provides the directory, constitution, rules, and policies of the Exchange.
- Offers access to the names and contact information for the members, member organisations, officers, and personnel of the Exchange.
- Includes regular monthly updates that allow you to stay up-to-speed on all current trends and developments.
Chicago Stock Exchange Guide
- Offers comprehensive information on the Chicago Stock Exchange.
- Provides the directory, certificate of incorporation, constitution, rules, and policies of the Exchange.
- Includes up-to-date information on membership dues and fees.
Municipal Securities Rulemaking Board Manual
- Provides complete information concerning the regulations and requirements that govern the conduct of a municipal securities business.
- Offers complete listings of board members, professional staff, and more.
- Includes a new developments section that offers current coverage of the latest Board dealings.
NASD Manual
- Offers complete National Association of Securities Dealers (NASD) Manual with membership lists, activities, rules for fair practice, bylaws, code of procedure, uniform practice code, related NASD rules, and pertinent SEC controls.
- Includes notices to members from 1983, regulatory and compliance alerts from 1987, and disciplinary actions from 1996.
- Provides frequent updates and Reports Letters that highlight significant new developments.
NASD Plus
- Provides authoritative and accurate information regarding the National Association of Securities Dealers (NASD).
- Includes decisions of NASD’s National Adjudicatory Council from 1990-present.
- Offers frequent updates to NAC decisions issued in pace with the NASD’s decision release schedule.
NASDAQ Manual
- Provides the complete By-laws, Rules and policies governing the day-to-day, as well as the regulatory activities of the Exchange and its members.
- Provides frequent updates and Reports Letters that highlight significant new developments.
National Futures Association
- Provides the National Futures Association Manual.
- Offers notices to members, comment letters, and rule submissions.
- Includes frequent updates.
Call for more information: (800) 449-6435.
New York Board of Trade Guide
- Contains authoritative and accurate information regarding the New York Board of Trade (NYBOT).
- Provides directory of officials and members of the New York Board of Trade (NYBOT).
- Offers full-text of NYBOT bylaws, rules, and resolutions, and New York Clearing Corporation bylaws and rules.
Call for more information: (800) 449-6435.
New York Mercantile Exchange Guide
- Provides all rules and regulations of the Exchange.
- Includes list of all Exchange officials, members, clearing members, and member firms.
- Offers reproductions of the New York Mercantile Exchange, Inc., and the Butter and Cheese Exchange, Inc., Charters.
New York Stock Exchange Guide
- Offers the official, full-text version of the constitution, rules, and policies of the New York Stock Exchange.
- Contains names and contact information for the members, member organisations, officers, and personnel of the Exchange.
- Provides a comprehensive understanding of the guidelines governing listing and trading.
New York Stock Exchange Plus
- Contains authoritative and accurate information regarding the New York Stock Exchange (NYSE).
- Provides the complete text, including all background information, case details, as well as penalties handed down by the NYSE for all disciplinary decisions issued dating back to 1992.
- Offers frequent additions to the disciplinary decisions in pace with the NYSE release schedule.
NYSE Arca Guide
- Provides the official, full-text version of the constitution, the rules of the Board of Governors, and the complete policies of the NYSE Arca.
- Offers 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.
- Keeps subscribers up-to-speed on all current trends and developments with regular monthly updates.
Options Clearing Corporation
- Provides complete directory of officials and members.
- Includes bylaws and rules.
- Contains directory, bylaws, and rules of the Intermarket Clearing Corporation.
Philadelphia Exchange Guide
- Provides the 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.
- Offers 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.
- Keeps subscribers up-to-date on current trends and developments with regular monthly updates and Report Letters.
For more information, call 0800 840 1160 or email UKsales@wolterskluwer.com.
