NYSE Annual Compliance Letter Released for 2020

The staff of NYSE Regulation recently sent its annual compliance letter to remind listed companies of important rules and policies applicable to companies listed on the NYSE.

Although there are no new rules to highlight, the letter contains key compliance reminders regarding various topics. These topics include:

• NYSE Timely Alert/Material News Policy
• Changes to the Date of a Listed Company’s Earnings Release
• Record Date Notification
• Annual Report Website Posting Requirement
• Corporate Governance Requirements
• Transactions Requiring Supplemental Listing Applications
• Broker Search Cards
• NYSE Rule 452, Voting by Member Organizations
• Shareholder Approval and Voting Rights Requirements

We encourage all NYSE-listed companies to re-acquaint themselves with these topics and to communicate with your Waller contact if you have questions or concerns regarding compliance.