|
NYSE Regulation welcomes information from investors who believe that a brokerage firm or individual broker may have violated securities rules and regulations affecting trading on the New York Stock Exchange or NYSE Arca.
Please note that NYSE Regulation’s member regulation operations and NASD were consolidated in July 2007 to form the Financial Industry Regulatory Authority (FINRA). FINRA is now responsible for all member regulation for securities firms and their registered representatives doing business with the public.
NYSE Regulation continues to oversee trading by NYSE member organizations on the Floor and away from the Exchange, and to assure the regulatory integrity of our listing programs. The consolidation into FINRA of overlapping regulatory efforts previously shared by NYSE Regulation and NASD allows NYSE Regulation to focus on areas where its unique market expertise is critical to effective regulatory oversight.
Specifically, NYSE Regulation continues to be responsible for conducting market surveillance and enforcing rules and laws that relate to trading activity occurring on NYSE and NYSE Arca, as well as ensuring that companies listed on NYSE and NYSE Arca meet their financial and corporate governance listing standards.
|
