NYSE MKT Listing Requirements


The NYSE MKT is a specific tier of the NYSE. The NYSE MKT used to be known as the American Stock Exchange (AMEX), until the New York Stock Exchange purchased the AMEX in its entirety in 2008.

As one of the most prestigious exchanges to be listed on, the NYSE MKT affords its patron companies many opportunities not found elsewhere. To gain an initial listing, companies must meet one of the following standards:

Financial Standards

Standard 1

Standard 2

Standard 3

Standard 4a

Standard 4b

Pre-tax Income

$750,000

-

-

-

-

Market Cap

-

-

$50 million

$75 million

-

Total Assets and Total Revenue

-

-

-

-

$75 million

Market Value of Public Float

$3 million

$15 million

$15 million

$20 million

$20 million

Stockholders’ Equity

$4 million

$4 million

$4 million

-

-

Minimum Price

$3

$3

$2

$3

$3

Operating History

-

2 years

-

-

-

Companies are also required to meet one of the following standards:

Additional Requirements

Option 1

Option 2

Option 3

Public Shareholders

800

400

400

Public Float

500,000

1,000,000

500,000

Daily Trading Volume (6 months prior)

-

-

2,000 shares


Getting Listed

The NYSE MKT listing process is a streamlined process designed to help companies who qualify get listed as easily and painlessly as possible. Initial listing fees for qualified companies are as follows:

Market entry fees, based on the total number of shares outstanding at the time of initial listing, includes a non-refundable application fee. Entry fees are due before the first day of trading.

Entry fees for the three different tiers are listed below:

Total Shares Outstanding

Entry Fee

Less than 5,000,000 Shares

$50,000

5,000,000 to 10,000,000 Shares

$55,000

10,000,001 to 15,000,000 Shares

$60,000

In excess of 15,000,000 Shares

$70,000 ($75,000 as of January 1, 2013)

How to Apply

Getting listed on the NYSE MKT is a four-step process. To apply, please visit the NYSE Get Started Page. The steps to getting listed in order are: 1. Choosing your market, 2. Reserving your ticker symbol, 3. Submitting your application, and 4. Selecting your DMM (Designated Market Maker). The NYSE will get back to you within 14 business to let you know if your application was accepted.

Transfer Agency Services

We can help your company get listed on the NYSE MKT securities market, in addition to the transfer agent services we offer. To speak with a professional today or learn more about Colonial Stock Transfer, please contact us using the Learn More box at the top right of the page.