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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 Alternext U.S. 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.
| Leadership |
| Learn who is who among NYSE Regulation’s management team. |
| Board of Directors |
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The board is comprised of a majority of directors unaffiliated with any other NYSE board.
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| Committees |
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Find out more about NYSE Regulation board committees.
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| Governance |
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The Regulation Board is a central element of the corporate structure that extends the separation between NYSE Regulation, Inc. and NYSE Group, Inc.’s business activities.
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| Investor Protection |
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Learn how NYSE Regulation plays a vital role in the network of safeguards to protect investors, the health of the financial system and the integrity of the capital-formation process.
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| Office of the Hearing Board |
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An independent division of NYSE Regulation, the Hearing Board reports to the NYSE Regulation Board of Directors and adjudicates disciplinary matters brought by the Enforcement division.
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