NYSE Disciplinary Actions

Prior to June 2010, NYSE Regulation's Enforcement division investigated and prosecuted violations of NYSE, NYSE MKT, and NYSE Arca Rules and applicable federal laws or regulations that occurred on or through the systems and facilities of the relevant 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. 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.

A complete archive of disciplinary actions is available here.