|
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 Options.
|
|
Financial and operational compliance of NYSE Amex Options member organizations is performed by FINRA under contract.
|
|
NYSE Amex, of which NYSE Amex Options is a part, is recognized by the U.S. Securities and Exchange Commission as a self-regulatory organization. NYSE Amex Options has its own set of rules and guidance.
|
|
Learn how NYSE Regulation's Market Surveillance division protects options investors and strengthens the integrity of NYSE Amex Options.
|
