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NYSE Regulation Announces March Disciplinary Actions Against Two Firms and Two Individuals
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New York, March 12, 2008 --NYSE Regulation, Inc. today announced Monthly Disciplinary Actions for March 2007. NYSE Regulation undertakes disciplinary action to enforce violations of NYSE rules and federal securities laws by member organizations, NYSE Arca rules and federal securities laws by trading permit holders, as well as current and former employees of those organizations.
There are four enforcement actions announced this month; two NYSE cases against individuals, one NYSE case against a member firm, and one NYSE Arca action against a firm (trading permit holder).
Here is the link to the March 2008 announcements page:
http://www.nyse.com/DiscAxn/discAxn_03_2008.html#
About NYSE Regulation
NYSE Regulation, Inc. is a not-for-profit corporation dedicated to strengthening market integrity and investor protection. A subsidiary of NYSE Euronext (NYSE Euronext: NYX), the organization consists of three divisions: Market Surveillance, Enforcement and Risk, and Listed Company Compliance. On July 30, 2007 , NYSE Regulation’s member regulation oversight functions were consolidated with NASD to form the Financial Industry Regulatory Authority (FINRA). Trading violations that occur on or through the systems and facilities of the NYSE Group will continue to investigated and prosecuted by NYSE Regulation’s Enforcement division. All enforcement actions filed with the NYSE Hearing Board by NYSE Regulation Enforcement prior to the merger will be prosecuted under NYSE Rules and federal securities laws until concluded. For more information, visit our Web site at www.nyseregulation.com.
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