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 14 July 08: NYSE Market Surveillance Sweep Letter on Rumors
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 13 July 08: Securities Regulators to Examine Industry Controls Against Manipulation of Securities Prices Through Intentionally Spreading False Information
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07 July 08: New Schedule for NYSE Group Short Interest Reports
Beginning this week, there is a new schedule for issuing semi-monthly short interest information for NYSE- and NYSE Arca-listed companies.
Short Interest Data Publication Schedule, June 30, 2008–December 31, 2008 (pdf)
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04 Mar 08: Corporate Board Member magazine, in conjunction with NYSE Euronext, today launched www.boardmember.com for the boardroom and c-suite communities with insights from experts, as well as resources from leading content, product, and service providers.
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04 Feb 08: Glenn W. Tyranski, Senior Vice President, Financial Compliance, NYSE Regulation, Inc. testimony before the Advisory Committee on the Auditing Profession, U.S. Department of Treasury (pdf)
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28 Sep 07: Richard G. Ketchum, Chief Executive Officer, NYSE Regulation, Inc. Keynote Address to Financial Executives International, "Financial Reporting in Global Markets – Reflections of a Regulator"
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29 Jun 07: SEC Repeal of Short Sale Tick Test (pdf)
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17 May 07: Richard G. Ketchum, Chief Executive Officer, NYSE Regulation, Inc. On “Consolidation of NASD and the Regulatory Functions of the NYSE: Working Towards Improved Regulation”
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27 Mar 07: “You Say You Want a Revolution” -- Richard G. Ketchum, Chief Executive Officer, NYSE Regulation, Inc. Keynote Address at the Annual Seminar of the Compliance & Legal Division of the Securities Industry and Financial Markets Association
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About NYSE Regulation
NYSE Regulation, Inc., is a not-for-profit corporation dedicated to strengthening market integrity and investor protection.
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Arbitration
NYSE Regulation’s Arbitration Department(NYSE)has combined with NASD Dispute Resolution (NASD DR)as part of a new entity, FINRA.
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Complaints & Inquiries
Do you have a question about NYSE Regulation? Or do you have a complaint to file against a member firm or individual broker? If so, here’s where to get started
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Enforcement
The Enforcement division investigates and prosecutes violations of NYSE rules and federal securities laws. Sanctions range from a censure or fine to a suspension, expulsion or bar.
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Listed Companies
Learn about how NYSE Regulation polices companies listed on the Exchange.
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Market Surveillance
NYSE Member Organizations are among the world’s largest, most complex financial-services firms. In this section, read how NYSE Regulation oversees these firms to protect investors.
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Rules & Interpretations
The NYSE must maintain a body of rules to regulate its member organizations and their associated persons.
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Public Information
NYSE Regulation publishes a variety of industry and investor publications. Here is also where you can read significant speeches by top officials.
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