NYSE Arca Enforcement

Overview | Disciplinary Process | NYSE Arca Disciplinary Actions

NYSE Arca Equities and NYSE Arca Options undertake disciplinary action to enforce violations of federal securities laws and NYSE Arca Bylaws and Rules.

The full text of formal Disciplinary Actions are available below. Use the green buttons to sort the list by Decision Number or Date Announced. Or filter the list to display only Disciplinary Actions associated with a Position or with a Case Type.

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Disciplinary Actions

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