News Releases

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.  Here is the link to the October 2009 announcement page:

Today's announcement includes actions against the following respondents:

• Citigroup Global Markets, Inc.
• National Financial Services, LLC.
• Tradestation Securities, Inc.
• AK Capital, LLC

NYSE 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 http://www.nyse.com/regulation.