New York, August 13, 2008 -- NYSE Regulation, Inc. today announced Monthly Disciplinary Actions for August 2008. 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. This month there are five enforcement announcements: three related to individuals, two for firms. Here is the link to the August 2008 announcements page: http://www.nyse.com/DiscAxn/discAxn_08_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. Trading violations that occur on or through the systems and facilities of the NYSE Group are investigated and prosecuted by NYSE Regulation’s Enforcement division. All enforcement actions filed by NYSE Regulation with the NYSE Hearing Board before the consolidation of the member oversight elements of NYSE Regulation with NASD that created FINRA on July 31, 2007, will be prosecuted under NYSE Rules and federal securities laws until concluded. For more information, visit our Web site at www.nyseregulation.com. Scott Peterson \ Managing Director, Communications \ NYSE Regulation + NYSE Euronext \ 212.656.4089 \ 646.283.6710 cell
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