NYSE MKT Disciplinary Actions

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

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

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NYSE Disciplinary Actions

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