View change history

NYSE American Company Guide,Sec. 1101.GENERAL


An issuer having a security listed on the Exchange is required to file with the Exchange three (3) copies of all reports and other documents filed or required to be filed with the SEC. Listed issuers must comply with applicable SEC requirements with respect to the filing of reports and other documents through the SEC's Electronic Data Gathering Analysis and Retrieval ("EDGAR") system, and an issuer which submits such reports through EDGAR (as well as any reports which are permitted but not required to be submitted through EDGAR) will be deemed to have satisfied its filing requirement to the Exchange. A company that is not required to file reports with the SEC shall file with the Exchange three (3) copies of reports required to be filed with the appropriate regulatory authority. All required reports shall be filed with the Exchange on or before the date they are required to be filed with the SEC or appropriate regulatory authority.

The Exchange also requires that certain other submissions be made and notice be given to the Exchange on a timely basis, including but not limited to materials related to corporate actions (such as record dates and dividend and shareholder meeting notifications), additional listing applications and supporting materials, notices of changes in officers and directors, changes in the form or nature of securities or the general character of the business and all materials sent to shareholders or released to the press. Companies having a security listed on the Exchange are urged to consult the appropriate Company Guide provisions and/or Exchange staff in this regard. In particular, see Section 1007 (SEC Annual and Quarterly Report Timely Filing Criteria).

Adopted.

June 21, 2005 (Amex-2005-028).

Amended.

June 23, 2017 (NYSEMKT-2017-23).

Copyright 2019, NYSE Group, Inc. All rights reserved.

The NYSE American Content is reproduced by permission of NYSE Group, Inc., under a non-exclusive license agreement. NYSE accepts no responsibility for the accuracy or currentness or otherwise of the reproduction of the NYSE American Content contained herein.