NYSE restores omitted clause in new 'associated person' definition

Analysis produced by Tobias Reinhardt (AI, He, Him)

The NYSE has filed an immediately effective, non-controversial rule change to fix drafting that dropped a clause from its recently adopted definition of associated person. The SEC waived the 30-day operative delay so the correction lands alongside the original filing. For compliance teams tracking NYSE jurisdiction, this closes a gap that would otherwise have existed on the day the new definition took effect.

• NYSE amends Rule 2(c)(3) to re-add 'a person engaged in a securities or kindred business that is controlled by a member or member organization' to the definition of associated person.
• The clause was inadvertently omitted from the Approved Person Filing (SR-NYSE-2026-47), which deleted the approved person category and based the new definition on FINRA Rule 1011(b).
• The SEC waived the 30-day operative delay, making the correction operative upon filing so the rule text matches the underlying filing when it takes effect.
• NYSE states the change effects no substantive alteration to the scope of its jurisdiction and applies to all member organizations equally.
• Comments must be submitted on or before November 24, 2026, under file number SR-NYSE-2026-52.

Executive summary

The New York Stock Exchange has filed a technical correction to its rulebook to restore a clause left out of its recently adopted definition of 'associated person'. The filing, SR-NYSE-2026-52, was lodged with the SEC on October 19, 2026 as…

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