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NYSE Regulation – Listed Company Manual A company that fails to file its annual report (Forms 10-K, 10-KSB, 20-F, 40-F or N-CSR) with the. In November 2003, the SEC approved the NYSE's proposed corporate governance rules, which were codified in Section 303A of the NYSE's listed company manual.“short-swing” profit recovery rule. NYSE REPORTING REQUIREMENTS. General Reporting Requirement. In general, the NYSE requires listed companies to disclose