NYSE Arca Disciplinary Actions

Prior to June 2010, NYSE Regulation's Enforcement Division investigated and prosecuted violations of NYSE Arca Rules and applicable federal laws or regulations that occurred on or through the systems and facilities of the New York Stock Exchange. Since June 2010, FINRA investigates and prosecutes potential violations on NYSE Regulation’s behalf.

DIsciplinary actions stem from a variety of sources that include internal referrals, investor complaints, examinations of member organizations, and referrals from the SEC.

Click here to review NYSE Arca Disciplinary Actions.

NYSE Disciplinary Actions

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