News Releases |
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NEW YORK, January 7, 2009—NYSE Regulation, Inc., today announced Monthly Disciplinary Actions for January 2009.
NYSE Regulation undertakes disciplinary actions to enforce violations of NYSE and NYSE Alternext US rules and federal securities laws by member organizations, NYSE Arca rules and federal securities laws by permit holders, as well as current and former employees of those organizations.
There are seven enforcement actions announced this month: two NYSE Arca actions, four NYSE actions, and one NYSE Alternext US action.
Here is the link to the January 2009 announcements page:
http://www.nyse.com/DiscAxn/discAxn_01_2009.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 regulates equities and options trading and listing compliance for the NYSE Group: the New York Stock Exchange, NYSE Arca, and NYSE Alternext US. For more information, visit nyse.com/regulation .
Scott Peterson \ Managing Director, Communications \ NYSE Regulation + NYSE Euronext \ 212.656.4089 \ 646.283.6710 cell
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