News Releases

 
Monthly Disciplinary Actions for May

NEW YORK, May 13, 2009—NYSE Regulation, Inc., today announced Monthly Disciplinary Actions for May 2009.

NYSE Regulation undertakes disciplinary actions to enforce violations of NYSE, NYSE Arca, and NYSE Amex rules and federal securities laws by member organizations, as well as current and former employees of those organizations.

There are 14 enforcement actions announced this month: eight NYSE actions, four NYSE Amex actions, and two for NYSE Arca.

Here is the link to the May 2009 announcement page:

http://www.nyse.com/DiscAxn/discAxn_05_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 New York Stock Exchange, NYSE Arca, and NYSE Amex. For more information, visit nyse.com/regulation .

Scott Peterson \ Managing Director, Communications \ NYSE Regulation + NYSE Euronext \ 212.656.4089 \ 646.283.6710 cell

 

 



Contact: Scott Peterson
Phone: 212.656.4089
Email:  speterson@nyx.com