NYSE, New York Stock Exchange > Regulation

NYSE Regulation, Inc., is a not-for-profit corporation dedicated to strengthening market integrity and investor protection. In addition to its regulatory responsibilities to enforce marketplace rules and federal securities laws of the New York Stock Exchange, NYSE Regulation oversees NYSE Arca Regulation and NYSE Amex Regulation through regulatory services agreements.

A subsidiary of NYSE Euronext, NYSE Regulation's board of directors is comprised of a majority of directors unaffiliated with any other NYSE board. As a result, NYSE Regulation is independent in its decision-making. The organization consists of three divisions: Market Surveillance, Enforcement, and Listed Company Compliance. NYSE Regulation also ensures that companies listed on the NYSE meet our financial and corporate-governance listing standards.

NYSE Enforcement		NYSE Listed Companies
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.		Learn about how NYSE Regulation polices companies listed on the Exchange.
NYSE Market Surveillance		NYSE Public Information
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.		NYSE Regulation publishes a variety of industry and investor publications. Here is also where you can read significant speeches by top officials.
NYSE Risk Group		NYSE Rules & Interpretations
Identifies and assesses internal and external risks.		The NYSE must maintain a body of rules to regulate its member organizations and their associated persons.

Related Information

13 Aug 08: Agreement for the Allocation of Regulatory Responsibility of Surveillance, Investigation and Enforcement of Insider Trading (pdf)

14 July 08: NYSE Market Surveillance Sweep Letter on Rumors (pdf)

13 July 08: Securities Regulators to Examine Industry Controls Against Manipulation of Securities Prices Through Intentionally Spreading False Information