Disciplinary Actions
Prior to June 2010, NYSE Regulation's Enforcement division investigated and prosecuted violations of NYSE, NYSE Amex, NYSE Amex Options, NYSE Arca, and NYSE Arca Options Rules and applicable federal laws or regulations by member organizations, as well as current and former employees of those organizations. Since June 2010, the investigation and prosecution of potential violations for each market is done by FINRA on NYSE Regulation’s behalf.
DIsciplinary matters stem from a variety of sources that include internal referrals, investor complaints, examinations of member organizations, and referrals from the U.S. Securities and Exchange Commission. Case types may include:
- Failure to cooperate
- Financial/operations
- Insider trading
- Market manipulation
- Misconduct on the trading floor
- Registration/qualification
- Short sale violations
- Supervisory violations
- Books and records deficiencies, and
- Other abusive trading practices.