NYSE Regulation

NYSE regulation, regulations, governance

NYSE Regulation, Inc.

NYSE Regulation, Inc., is an independent not-for-profit corporation dedicated to strengthening market integrity and investor protection.

The U.S. Markets of NYSE Euronext

NYSE Equities

Information related to the regulation of trading on the NYSE.

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.

International Regulations

Euronext Regulation

There are two types of regulated markets organized by Euronext: Harmonised and Non-harmonised.

NYSE Liffe Regulation

Access key regulatory documents of the London market in three Volumes: Contract Specifications, Rules and Trading Procedures.

Contact NYSE Regulation

Complaints and Inquiries

Do you have a question or a
complaint to file? Get started here.