NYSE Regulation, Inc.
NYSE Regulation, Inc., is an independent not-for-profit corporation dedicated to strengthening market integrity and investor protection.
NYSE Regulation
The U.S. Markets of NYSE Euronext
NYSE MKT
Information related to the regulation of trading on the NYSE MKT equities and options markets.
NYSE Arca
Information related to the regulation of trading on the NYSE Arca equities and options markets.
NYSE Liffe U.S.
A Designated Contract Market or Futures Exchange authorized by the U.S. Commodity Futures Trading Commission.
Overview
NYSE Regulation, Inc., is an independent not-for-profit corporation dedicated to strengthening market integrity and investor protection.
Rules and Interpretations
NYSE Regulation must maintain a body of rules to regulate its member organizations and their associated persons.
Listed Company Compliance
Learn how NYSE Regulation monitors companies listed on the NYSE, NYSE Arca, and NYSE MKT.
Disciplinary Actions
On behalf of NYSE Regulation, FINRA enforces rules and federal securities laws, and if necessary brings disciplinary action against member organizations, as well as current and former employees of those organizations.