NYSE Arca Equities

This review provides detailed eligible market due diligence for NYSE Arca Equities.

NYSE Arca Equities is located in United States and is regulated by the Securities and Exchange Commission (SEC), NYSE Regulation & FINRA.

This review will allow users to establish if a market is UCITS eligible and whether NYSE Arca Equities is regulated, operates regularly, and is open to the public.

Exchange Reviews

Included within the due diligence review is information on:

General Country Information

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    Is the US Dollar freely convertible?
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    Is the United States an OECD or FATF member country?
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    What is the corruption score for the United States?
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    Ease of repatriation of capital.

Market Regulations

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    Is Securities and Exchange Commission (SEC), NYSE Regulation & FINRA a statutory body?
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    What complaints mechanisms are in place?
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    Market Surveillance.

Listing Rules

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    What are the capital requirements for companies listed on NYSE Arca Equities?
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    Do companies listed on NYSE Arca have to publish a prospectus and audited annual financial statements?
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    Does NYSE Arca Equities have the power to delist securities?

Broker and Member Rules

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    How are brokers supervised on NYSE Arca Equities?
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    Does NYSE Arca have a guarantee fund?
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    What sanctions can be imposed on brokers?
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    What are the capital requirements for brokers on NYSE Arca?

Market Transparency & Trading

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    What are the trading hours for NYSE Arca Equities?
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    What instruments are listed on NYSE Arca?
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    Is there daily market information available?

Clearing and Settlement

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    What is the settlement cycle on NYSE Arca Equities? (e.g T+2, T+3, T+4)
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    What is the settlement method on NYSE Arca? (DVP, FOP)
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    Is there a Central Counterparty?
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    Are securities dematerialized?
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    RTGS v Netting?
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    How are securities registered?

Liquidity

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    No. of Listed Securities
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    Market Capitalisation
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    Market Concentration
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    Market Trading
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    Share Turnover Velocity
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    Trades Per Day

Key Risks

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    What are the key risks of the market?
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