The Office of the Hearing Board is an independent division of NYSE Regulation, Inc., that reports directly to NYSE Regulation’s Board of Directors and adjudicates disciplinary matters brought by NYSE Regulation’s Division of Enforcement. The Office of the Hearing Board does not report to the management of NYSE Regulation, 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 document Hearing Board Procedures (pdf) explains the basic operation of the Office of the Hearing Board, and answers those questions most frequently asked about the disciplinary process for the NYSE and NYSE Alternext US.
NYSE Rules and NYSE Amex Rules are the basic source of information concerning disciplinary procedures and should be carefully studied by anyone involved in the disciplinary process.
If, after reading this document, you still have questions or need additional information, you may contact the staff of the Office of the Hearing Board at:
Office of the Hearing Board
NYSE Regulation, Inc.
20 Broad Street, 18th Floor
New York , NY 10005
Fax: 212.656.2119
