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NYSE Regulation's Enforcement division investigates and prosecutes trading and other rule violations, and applicable federal laws or regulations, that occur on or through systems and facilities of NYSE Amex.
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Financial and operational compliance of NYSE Amex member organizations is performed by FINRA under contract.
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Find out how listing requirements promote high standards while allowing small and micro cap companies to gain visibility and access to investors.
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Learn how NYSE Regulation's Market Surveillance division protects equities investors and strengthens the integrity of NYSE Amex.
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Locate Member Education Bulletins, Information Memos, Regulation SHO, and other pertinent information.
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NYSE Amex is recognized by the U.S. Securities and Exchange Commission as a self-regulatory organization with its own set of rules and guidance.
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