NYSE Section 303A Initial Corporate Governance Affirmation

Effective April 1, 2019

The Section 303A Corporate Governance Affirmations can be submitted electronically through Listing Manager, the NYSE’s fully integrated web application. Listing Manager is available for our NYSE, NYSE American, and NYSE Arca issuer community and replaces its predecessor, eGovDirect. Additional information about Listing Manager such as FAQs and training videos can be found here. If you have questions or concerns about Listing Manager, please contact us at [email protected] or +1 212 656 4651.

If unable to make the submission through Listing Manager, as an alternative, the Section 303A Corporate Governance Affirmations provided below may be submitted via email to the Initial Listing Analyst reviewing the Original Listing Application.

The below NYSE Section 303A Corporate Governance Affirmations forms are interactive. The forms must be saved to a local desktop drive before the work completed within the forms can be saved.

NYSE American Initial/Annual Corporate Governance Affirmation

The Section 303A Corporate Governance Affirmations can be submitted electronically through Listing Manager, the NYSE’s fully integrated web application. Listing Manager is available for our NYSE, NYSE American, and NYSE Arca issuer community and replaces its predecessor, eGovDirect. Additional information about Listing Manager such as FAQs and training videos can be found here. If you have questions or concerns about Listing Manager, please contact us at [email protected] or +1 212 656 4651.

If unable to make the submission through Listing Manager, as an alternative, the NYSE American Corporate Governance Affirmation provided below may be submitted via email to the Initial Listing Analyst reviewing the Original Listing Application.

The below NYSE Section 303A Corporate Governance Affirmations forms are interactive. The forms must be saved to a local desktop drive before the work completed within the forms can be saved.

Please refer to the 2.5.15 Corporate Governance: Certification Requirements for more information.

For an issuer to list on NYSE Arca, it must receive NYSE Arca authorization and file a Listing Application and Listing Agreement and other required documents. For an existing NYSE Arca issuer to list additional securities, it must receive NYSE Arca authorization and file a Supplemental Listing Application ("SLAP"). The NYSE Arca listing application, listing agreement and SLAP can be submitted electronically through Listing Manager, the NYSE's fully integrated web application. Additional information about Listing Manager such as FAQs and training videos can be found here. If you have questions or concerns about Listing Manager, please contact us at [email protected] or + 1 212 656 4651.

If unable to make the submission through Listing Manager, as an alternative, listing documents may be submitted via email to [email protected]. Generic templates for the NYSE Arca Listing Application, Listing Agreement and SLAP can be found below.