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| NYSE Disciplinary Actions | NYSE Arca Disciplinary Actions | ||||||||||||
| NYSE Regulation undertakes disciplinary action to enforce violations of NYSE rules and federal securities laws by member organizations, as well as current and former employees of those organizations. Use the Search box below to search all Disciplinary Actions using keywords. Disciplinary Actions dated 2006 and later are listed below by year. 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. You can access prior years’ Disciplinary Actions via the Archive link below. On July 30, 2007, NYSE Regulation’s member regulation oversight functions were consolidated with NASD to form the Financial Industry Regulatory Authority (FINRA). Certain staff and functions of NYSE Regulation’s Enforcement division have transferred to FINRA Enforcement. NYSE Member Firm Rule violations by NYSE member organizations will now be investigated and prosecuted by FINRA Enforcement. Trading violations that occur on or through the systems and facilities of the NYSE, and other Exchange rule violations, will continue to investigated and prosecuted by NYSE Regulation’s Enforcement division. All enforcement actions filed with the Hearing Board by NYSE Regulation Enforcement prior to the merger will be prosecuted under NYSE Rules and federal securities laws until concluded. | ||||||||||||
Disciplinary Actions
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