Office of the Hearing Board

Hearing Board Procedures (pdf) explains the basic procedures of the NYSE Hearing Board and answers those questions most frequently asked about the Hearing Board disciplinary process at the NYSE. The Office of the Hearing Board is an independent division of NYSE Regulation, Inc. that reports directly to the Board of Directors of NYSE Regulation, Inc. The Hearing Board adjudicates disciplinary matters brought by NYSE Regulation, Inc.’s Division of Enforcement. The Office of the Hearing Board does not report to the management of NYSE Regulation, Inc., is not responsible for investigating conduct or bringing disciplinary charges, and takes no part in deciding whether such investigations should be undertaken or whether charges should be brought.

 

The NYSE Rules are the basic source of information concerning disciplinary procedures and should be carefully studied by anyone involved in the disciplinary process. The sections of the Rules relating to NYSE disciplinary hearings are included in the Appendix to Hearing Board Procedures.

If, after reading this document, you still have questions or need additional information, you may contact the Hearing Board staff at 212.656.3752 or:

Office of the Hearing Board
NYSE Regulation, Inc.
20 Broad Street, 18th Floor
New York, NY   10005

Fax: 212.656.2119