NYSE American
This review provides detailed eligible market due diligence for NYSE American.
NYSE American is located in United States of America (USA) and is regulated by the Securities and Exchange Commission (SEC) & Financial Industry Regulatory Authority (FINRA).
NYSE America is a national securities exchange that has registered with the SEC under Section 6 of the Securities Exchange Act of 1934.
This review will allow users to establish if a market is UCITS eligible and whether NYSE American is regulated, operates regularly, and is open to the public.
Exchange Reviews
Included within the due diligence review is information on:
General Country Information
- Is the US Dollar freely convertible?
- Is the United States of America (USA) an OECD or FATF member country?
- What is the corruption score for the United States of America (USA)?
- Ease of repatriation of capital.
Market Regulations
- Is Securities and Exchange Commission (SEC) & Financial Industry Regulatory Authority (FINRA) NYSE America is a national securities exchange that has registered with the SEC under Section 6 of the Securities Exchange Act of 1934. a statutory body?
- What complaints mechanisms are in place?
- Market Surveillance.
Listing Rules
- What are the capital requirements for companies listed on NYSE American?
- Do companies listed on NYSE American have to publish a prospectus and audited annual financial statements?
- Does NYSE American have the power to delist securities?
Broker and Member Rules
- How are brokers supervised on NYSE American?
- Does NYSE American have a guarantee fund?
- What sanctions can be imposed on brokers?
- What are the capital requirements for brokers on NYSE American?
Market Transparency & Trading
- What are the trading hours for NYSE American?
- What instruments are listed on NYSE American?
- Is there daily market information available?
Clearing and Settlement
- What is the settlement cycle on NYSE American? (e.g T+2, T+3, T+4)
- What is the settlement method on NYSE American? (DVP, FOP)
- Is there a Central Counterparty?
- Are securities dematerialized?
- RTGS v Netting?
- How are securities registered?
Liquidity
- No. of Listed Securities
- Market Capitalisation
- Market Concentration
- Market Trading
- Share Turnover Velocity
- Trades Per Day
Key Risks
- What are the key risks of the market?
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